Form PF – Current Event Filing Required for 20% Losses Over 10 Business DaysSEC Extends Form PF Amendments Compliance DatePresident-Elect Trump nominates Paul Atkins as next SEC ChairFinCEN Alert on DeepfakesA Framework for Assessing AI RiskSalus GRC Takeaways from the NSCP 2024 National Conference Keynote Session with Pete Driscoll’s Interview with Natasha vij Greiner4 firms charged by SEC for misleading cyber disclosuresFINRA Phishing Scam Targets RIAsSEC Fines Institutional Adviser $79 million for Valuation and Cross Trade ViolationsSEC Assesses E-Comms Fines of $88 Million to Hedge Fund Managers and Other Investment AdvisersCFTC Finalizes Amendments to 4.7SEC Fines NYC Private Fund Manager $1.8 million for MNPI ViolationsSEC Charges Vertically Integrated Real Estate Fund Manager with Custody Rule Violations and Ineffective Controls Relating to Affiliated Service Provider FeesSEC Assesses Fines of $390 Million for Electronic Communications ViolationsYour Social Security Number is Out There for the TakingCrypto Insights: Navigating the Intersection of Regulation, Politics, and Market DynamicsSEC Charges High-Profile Investment Adviser with $20 Million Fraud Scheme Which Used Misleading Social Media DisclosuresCrowdStrike Aftermath: Reporting and Disclosure ObligationsSEC Does Not Appeal Overturn of Private Fund RuleSEC Censures Private Fund Manager for Misleading Performance MarketingSEC Fines Private Fund Manager Over $2 Million for Misleading Disclosures Regarding Work With Activist Short PublishersUnderstanding the Reg. S-P RequirementsUnderstanding the Scope of Managers’ Form N-PX Reporting Obligations: A Guide for 13F FilersU.S. Court of Appeals Vacates Private Fund RuleSEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024SEC Adopts Incident Response Planning Rule Under Regulation S-PSEC Proposes New Anti-Money Laundering Rule for RIAs and ERAsGeneral Solicitation Under Regulation D – Recent Trends and Enforcement ActivityThe Interplay of “Proactive Compliance” and the SEC: Take AI, for ExampleCybersecurity Myths and Misconceptions for Emerging ManagersSEC Issues Risk Alert on Marketing Rule ComplianceSEC Fines Private Equity Fund Manager for Technical Violations of the Pay-to-Play Rule – April 19, 2024The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024The Fox in the HenhousePrivate Markets Fund Managers – Effective SEC Exam Preparation StrategiesSEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024The 3 Minute Guide to Preparing for the SEC Cybersecurity Rules
Insights and Whitepapers
Thought Leadership
Form PF – Current Event Filing Required for 20% Losses Over 10 Business DaysTakeaways from the SEC Roundtable on Artificial Intelligence in the Financial Industry March 27, 2025Takeaways from the IAA Compliance ConferenceRule or No Rule: Fiduciaries’ Responsibility to Oversee Service ProvidersSEC Extends Form PF Amendments Compliance DatePresident-Elect Trump nominates Paul Atkins as next SEC ChairFinCEN Alert on DeepfakesA Framework for Assessing AI RiskSalus GRC Takeaways from the NSCP 2024 National Conference Keynote Session with Pete Driscoll’s Interview with Natasha vij Greiner4 firms charged by SEC for misleading cyber disclosuresFINRA Phishing Scam Targets RIAsSEC Fines Institutional Adviser $79 million for Valuation and Cross Trade ViolationsSEC Assesses E-Comms Fines of $88 Million to Hedge Fund Managers and Other Investment AdvisersCFTC Finalizes Amendments to 4.7SEC Fines NYC Private Fund Manager $1.8 million for MNPI ViolationsSEC Charges Vertically Integrated Real Estate Fund Manager with Custody Rule Violations and Ineffective Controls Relating to Affiliated Service Provider FeesSEC Assesses Fines of $390 Million for Electronic Communications ViolationsCrypto Insights: Navigating the Intersection of Regulation, Politics, and Market DynamicsSEC Charges High-Profile Investment Adviser with $20 Million Fraud Scheme Which Used Misleading Social Media DisclosuresCrowdStrike Aftermath: Reporting and Disclosure ObligationsSEC Does Not Appeal Overturn of Private Fund RuleSEC Censures Private Fund Manager for Misleading Performance MarketingSEC Fines Private Fund Manager Over $2 Million for Misleading Disclosures Regarding Work With Activist Short PublishersUnderstanding the Scope of Managers’ Form N-PX Reporting Obligations: A Guide for 13F FilersU.S. Court of Appeals Vacates Private Fund RuleSEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024SEC Adopts Incident Response Planning Rule Under Regulation S-PSEC Proposes New Anti-Money Laundering Rule for RIAs and ERAsGeneral Solicitation Under Regulation D – Recent Trends and Enforcement ActivityThe Interplay of “Proactive Compliance” and the SEC: Take AI, for ExampleSEC Issues Risk Alert on Marketing Rule CompliancePrivate Markets Fund Managers – Effective SEC Exam Preparation StrategiesSEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024
FinCEN Alert on Deepfakes4 firms charged by SEC for misleading cyber disclosuresYour Social Security Number is Out There for the TakingCrypto Insights: Navigating the Intersection of Regulation, Politics, and Market DynamicsUnderstanding the Reg. S-P RequirementsCybersecurity Myths and Misconceptions for Emerging ManagersSEC Fines Private Equity Fund Manager for Technical Violations of the Pay-to-Play Rule – April 19, 2024The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024The Fox in the HenhouseThe 3 Minute Guide to Preparing for the SEC Cybersecurity Rules