Category Archives: Compliance
SEC and CFTC Further Delay Form PF Amendments Until July 2027
Also on September 3, 2026, the SEC and CFTC announced another extension of the compliance [...]
SEC Proposes Rescission of Investment Adviser Pay-to-Play Rule
On September 3, 2026, the SEC proposed to rescind Rule 206(4)-5 under the Investment Advisers [...]
SEC Proposes Regulation Crypto Assets
By: Gena Dirani On August 21, 2026, the SEC proposed Regulation Crypto Assets, a proposed [...]
Soft Dollars and AI: Challenges and Considerations for Private Fund Managers
By: Eric Swick Private fund managers are increasingly using artificial intelligence platforms such as Anthropic’s [...]
SEC Risk Alert Highlights Deficiencies in Investment Adviser Annual Compliance Reviews
On September 14, 2026, the Securities and Exchange Commission’s Division of Examinations (“EXAMS”) issued a [...]
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 [...]