Investment adviser
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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.
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ASIC roundup: SocGen fined A$3.88m, and a ‘cavalier attitude to compliance’
The Australian Securities & Investments Commission’s latest actions and news, September 1 – 5, 2025.
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How RIAs can build a sturdy compliance program
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
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Multiple actions connected to Shield Master Fund taken by ASIC
Actions against eight parties relating to the failure of the Shield fund were taken during week 35.
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New FinCEN AML Rule brings investment advisers under bank-like scrutiny
The rule places RIAs and ERAs under Bank Secrecy Act-style compliance obligations.
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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.