Category Archives: Compliance
SEC Regulatory Agenda Highlights Key Developments for Private Fund Advisers
On July 7, the SEC released its latest Regulatory Flexibility Agenda, providing an early look at SEC Chair Paul Atkins’ [...]
SEC Provides New Guidance to Activist Funds Regarding 13D Filings
By: Emily Caton On July 9, 2026, the SEC’s Division of Corporation Finance issued new Corporation [...]
24-Hour Equity Markets and Potential Compliance and Operational Challenges
On July 23, the SEC announced that it will host a public roundtable on September 17, 2026, to discuss preparations [...]
Death Knell Finally Tolls for the Corporate Transparency Act
On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) [...]
The Death of the DOL’s 2024 Retirement Security Rule: What It Means for Investment Advisers Providing Rollover Advice
By: Ariana Monchick, Managing Director Since the Department of Labor’s (DOL) 2024 Retirement Security Rule (known as the [...]
SEC Charges 21 in Alleged Insider Trading Ring Tied to Law Firms
On May 6, 2026, the SEC charged 21 individuals for their alleged involvement in a [...]
Are CCOs Personally Accountable for a Cyber Incident or AI Failures?
By E.J. Yerzak Chief Compliance Officers have never faced a broader mandate. As registered investment advisers (RIAs) [...]
Market Manipulation and Activist Research: What Andrew Left’s Conviction Means for Compliance
On June 1, 2026, a federal jury in the Central District of California found Andrew [...]
AI in Employment for RIAs: What Connecticut’s New Law Signals for Compliance Risk
By Armando DeChalus Artificial intelligence (AI) continues to be a central focus for investment advisers, with [...]
SEC Draft Strategic Plan Signals Regulatory Priorities for 2026–2030
On June 2, 2026, the SEC published its Draft Strategic Plan (the “Plan”) for fiscal years 2026 [...]