- Regulation
- Technology
- Resources
Latest News
-
New FinCEN AML Rule brings investment advisers under bank-like scrutiny
The rule places RIAs and ERAs under Bank Secrecy Act-style compliance obligations.
-
FINRA industry snapshot 2025 shows firm concentration in size, location
Snapshot provides a high-level overview of FINRA membership; the data is reported in aggregate to respect confidentiality of member firms.
-
FCA proposes once-in-a-generation changes to UK financial advice services
One key proposal is the introduction of “targeted support”, aimed at people with common financial characteristics.
-
OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
-
SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.
-
SEC confronts non-GAAP disclosures and votes on mandatory arbitration
SEC panel emphasized need for greater transparency in arbitration clauses and stricter oversight of misleading non-GAAP disclosures.
-
Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
-
Top compliance program mistakes (and how to avoid them): The devil’s in the details
Part 2, in a series of 3, on common compliance mistakes investment advisers make.