Category Archives: Compliance
U.S. Crypto Regulation Enters a Coordinated Phase: SEC, CFTC, and Congress Move Toward Market Structure Clarity
By Gena Dirani Recent developments from the Securities and Exchange Commission (SEC), the Commodity Futures [...]
Understanding the EU Artificial Intelligence Act and Its Global Impact
By: Lisa Iantorno In April 2021, the European Commission (“EC”) proposed the first European Union (EU) artificial intelligence law, the [...]
Artificial Intelligence: A Hot Topic at the Investment Adviser Compliance Conference
By: E.J. Yerzak Artificial intelligence (AI) was a central theme at the 2026 Investment Adviser Compliance [...]
SEC Proposed Changes to Qualified Client Thresholds
On March 27, the SEC released a Notice of Intent that will ultimately increase the net worth and asset under management thresholds [...]
Building a Modern Vendor Due Diligence Program: April 7 Webinar Recap
In today’s regulatory and operational environment, third-party risk management has evolved from a best practice [...]
SEC Enforcement Results: Key Takeaways from Fiscal Year 2025
On April 7, the SEC announced its enforcement results for the fiscal year ended September [...]
SEC Compliance Outreach Offers Guidance for Smaller Firms
By: E.J Yerzak If you missed the SEC’s January Compliance Outreach on Regulation S-P, now is the [...]
FINRA Increases Gift Limit
By: Matt Calabro In a significant and long-awaited update, on February 27, 2026, FINRA adopted amendments to Rule 3220 [...]
Valuation of Private Credit: Madison Funding Enforcement
On February 25, the SEC fined Madison Funding, a Chicago-based private fund manager, $900,000 for violations related to the valuation of [...]
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]