By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...

The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities.  The Division publishes...

SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs

On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...

The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...

Earlier today, United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) fully vacated the Private Fund Adviser Rules...

After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...

The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...