As the final compliance deadline for the amended Regulation S-P quickly approaches, we’re here to help your firm develop and implement thoughtful and practical policies and procedures. Regulation S-P Amendments What is it? As an update to our October 2025 Compliance Alert, we wanted to remind firms that the SEC adopted amendments to Regulation S-P, [...]
We’re reaching out to help you comply with recent amendments to Regulation S-P and remind you about recently adopted continuing education requirements imposed by many states: As the first compliance deadline for “large entities” under the amended Regulation S-P quickly approaches, we’re here to help your firm develop and implement thoughtful and practical policies and [...]
Each year, investment advisers and their registered personnel are required to renew their registrations for the following year, to ensure that continuous registrations are maintained. This also marks a key time for advisers to review their current registrations and notice-filings, as well as their active rosters of registered personnel, to confirm that all registrations and [...]
Today, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to postpone the effective date of the final rule establishing Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers (the "IA AML Rule") and to revisit the scope [...]
As we typically do in our newsletter, we want to provide you with the following information in an easy and clean format: key dates, relevant proposed and adopted rules, enforcement actions, relevant guidance, and information about our upcoming speaking engagements. Each quarter, we plan to distribute a similar newsletter in this format.While we never want [...]
We are excited and proud to announce the launch of RIA Lawyers—a law firm dedicated to representing investment advisers. We have each spent the better part of the last ten years counseling investment professionals about their legal and compliance needs, including the benefits of going independent. As we enter 2022, we thought it was finally [...]