Category Archives: Compliance
Action Required: FINRA Implementing Identity Verification for IARD Accounts with SSN Access
By Adam DiPaolo and Joelle Best Action Required: FINRA Implementing Identity Verification for IARD Accounts with [...]
SEC Proposes Major Rollback of Form PF Requirements
SEC Proposes Major Rollback of Form PF Requirements On April 20, 2026, the SEC and CFTC [...]
Prediction Markets, Event Contracts, and Emerging Insider Trading Risks
By Lisa Iantorno Prediction markets are exchange platforms that specialize in offering event contracts. An event [...]
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 [...]
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 [...]