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SEC’s Emerging Trends in Asset Management Conference | Key Takeaways
SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation, and shifting investor dynamics are […]
Read MoreRulemaking and Economic Analysis | Paul Atkins Remarks
SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial Market Regulation. Compliance professionals have […]
Read MoreSEC Chair Paul Atkins Remarks at SEC Town Hall
SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new regulatory landscape. Industry experts pull from […]
Read More$2.9 Million Charge to RIA for Breach of Fiduciary Duty
SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of interest, violating their fiduciary duty. […]
Read MoreSEC Cracks Down on AI Misrepresentation
SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors by making false and misleading […]
Read MoreSEC Names Rule Compliance Date Extended
SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month extension to the compliance dates. […]
Read MoreActing Chair Mark Uyeda Recent Speeches | Key Takeaways
SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s role moving forward during many […]
Read MoreSEC Announces Cyber and Emerging Technologies Unit (CETU)
SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February 20th, 2025, the creation of […]
Read MoreRIA Charged for Breaching Fiduciary Duty
SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving their retail clients. Fiduciary Duty […]
Read MoreForm PF Amendments Compliance Date Extension
SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form PF that were adopted on […]
Read MoreMisleading Cybersecurity Disclosure Leads to SEC Charges
SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading cybersecurity disclosures. Cybersecurity was a […]
Read MoreImproper Private Fund Expenses | Managers and Owner Charged
SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to their Private Funds. The SEC […]
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