Compliance June 11th, 2025 SEC’s Director of Investment Management to Step Down Natasha Vij Greiner, who has led the division since March 2024, leaves after more than 23 years at the SEC.
Compliance May 13th, 2025 In Letter, Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges The May 2 letter to the SEC followed recent concerns expressed by lawmakers over U.S. investments in China, including two...
Compliance May 12th, 2025 SEC Guidance Clarifies Insider Trading Rules for 401(k) Brokerage Windows The Securities and Exchange Commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company...
The Markets May 8th, 2025 Industry Anticipates SEC Approval of Dual Share Class ETF Offerings The Securities and Exchange Commission in March said it was prioritizing its review of applications for firms aiming to offer ETF...
Compliance May 1st, 2025 Regulators Urged to Take Risk-Based Approach Toward AI A recent SEC-hosted roundtable addressing artificial intelligence highlighted the risks and rewards of its usage in financial services.
Compliance April 16th, 2025 Electronic Disclosure Bill Reintroduced in House Similar to a measure that passed the House last year, the Improving Disclosure for Investors Act prioritizes electronic delivery of...
Compliance April 10th, 2025 Senate Confirms Paul Atkins as SEC Chairman The founder and chief executive of Washington, D.C.-based consultancy Patomak Global Partners was also an SEC commissioner under President George...
Client Service November 27th, 2023 What the 2024 Election Will Mean for Advisers When it comes to retirement planning, expect increased attention on the fiduciary investment adviser proposal, contribution limits and tax cuts.
Compliance November 22nd, 2023 SEC Charges Against Kraken Identify Specific Tokens as Securities The complaint is another sign to 401(k) plan fiduciaries to take care with digital asset availability in plans, according to...
Compliance Analysis The SEC on Cybersecurity Review your policies and procedures—it’s a fiduciary duty
Deals & People May 1st, 2023 Pensionmark Hires Compliance Head To Help With Acquisition Push Jonathan Curley, a former RIA, will perform due diligence on firms Pensionmark is looking to acquire.
Practice Management / Cybersecurity Cyber Ready Foil potential breaches with strong data security practices.
Compliance November 21st, 2022 SEC Collects Record $6.44B On 760 Enforcement Actions in Fiscal 2022 The regulator raked in close to $4.2 billion in civil penalties, nearly three times the $1.46 billion collected the previous...
Compliance October 26th, 2022 SEC Proposal Calls for Vetting of Outsourced Services by Advisers The SEC says the new rule proposals are responding to the growing trend in use of third-party vendors by financial...
Compliance October 26th, 2022 The SEC Adopts Rules on Shareholder Reporting, Fund Advertisements The rules adopted by the SEC update requirements for mutual fund and ETF shareholder reports and promote transparent fee and...
Compliance September 20th, 2022 SEC Risk Alert Addresses Marketing Rule Compliance Examinations The SEC’s new marketing rule is set to take effect on November 4, and the agency’s Division of Examinations says...
Compliance September 13th, 2022 PANC 2022: Reg BI Compliance Tips From the SEC The enforcement of Regulation Best Interest is currently one of the major projects at the Securities and Exchange Commission.
Compliance News Legislative and Judicial Actions The SEC favors proxy voting advice rule amendments; the PBGC issues final rule implementing the Special Financial Assistance program; appeals...
Compliance August 19th, 2022 SEC, CFTC Propose New Private Fund Industry Reporting Changes Regulators cite the increased complexity of the private fund industry and rapid growth for need to amend confidential filing rules.
Compliance May 24th, 2022 BNY Mellon Adviser Settles SEC Charges Over Greenwashing, Pays $1.5 Million Penalty Case focused on misstatements and omissions regarding ESG offerings.