Investment adviser
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SEC flags adviser conflict of interest issues
Identified problems included nondisclosure of advisers’ financial incentives and clients being charged for services they did not receive.
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SEC raises qualified client thresholds for performance fees effective June 2026
SEC3 is monitoring the SEC’s recent inflation adjustment to the “qualified client” thresholds under Advisers Act Rule 205-3, which affects advisers that charge performance-based fees.
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SEC and CFTC propose major Form PF relief for private fund advisers
Firms, however, must maintain strict adherence to existing requirements until these changes are officially adopted.
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ASIC roundup: Prison sentence for former director, fines, plus more
The Australian Securities and Investments Commission’s latest actions and news, May 5-15, 2026.
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NASAA revises model advertising rules for state-registered investment advisers
Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.
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SEC enforcement highlights valuation risks in affiliated loan transactions
After reviewing a recent case, Janaya Moscony offers lessons learned and explains why this matters for advisers.
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Lack of secure archive and other failings lead to fine for investment adviser in France
Carat GP and its two directors have incurred a fine of €2.5m. The firm and one of its directors have also been barred by the AMF.
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FinCEN proposes two-year delay for investment adviser AML rule
The Department of the Treasury regulator cites potential cost savings and lack of industry readiness as it looks to rework the rule.