Category Archives: Compliance
November Regulatory Roundup: DOGE Exits the SEC, NFA Revises Digital Asset Disclosure Rules
DOGE Departs the SEC On October 30, Reuters reported that the U.S. Department of Government [...]
NSCP Annual Conference: Key Takeaways from Former Regulators
By: Jackie Hallihan This year’s NSCP National Conference opened with an unfiltered conversation featuring former [...]
Part 1: Important Registration Renewal and CE Deadlines for Financial Advisers
By: Ariana Monchick From new continuing education requirements for investment adviser representatives (“IARs” as defined [...]
Embracing AI in Compliance: Start Small, Start Now — But Start
AI isn’t a trend on the horizon. It’s already transforming how firms operate, make decisions, [...]
Compliance Considerations for AI Use and Policies
By: Matt Calabro Artificial intelligence is no longer a future concept—it’s part of daily operations [...]
Regulation S-P Reminder
With just two months left before the December 3, 2025 compliance deadline, the SEC has [...]
Recent SEC Remarks
By: Jackie Hallihan The SEC closed September with two major announcements that signal a more [...]
Compliance Update: Private Fund Legislation Moves Forward
By: Gena Dirani In July 2025, the House Financial Services Committee advanced three bipartisan bills [...]
Digital Asset Regulation: A Reset in Tone
By: Gena Dirani U.S. digital-asset regulation is undergoing a meaningful reset. After years of “regulation [...]
AI Notetakers: Compliance and Cybersecurity Risks
By: E.J. Yerzak and Adam DiPaoloArtificial intelligence is reshaping how investment advisers operate — from [...]