September 14, 2026
The takeaway in 30 seconds: When a growing RIA hires its first real Chief Compliance Officer, there’s a predictable moment about four weeks in, when the new CCO finishes their initial audit […]
Blogs
Browse compliance articles covering audits, cybersecurity, regulations, risk management, and industry best practices.
September 9, 2026
The takeaway in 30 seconds: On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5, the “pay-to-play” rule that bars advisers from being paid for advisory services to a government client for […]
September 8, 2026
The takeaway in 30 seconds: If you took any real time off this summer, you came back to a fuller inbox than the SEC’s pace would suggest is possible. Between June and […]
September 2, 2026
The takeaway in 30 seconds: With Q3 closing, there’s a narrow window when a handful of compliance items are still cheaply fixable, but only until the quarter actually ends. Some are hard […]
August 31, 2026
The takeaway in 30 seconds: On August 18, 2026, the SEC proposed “Regulation Crypto Assets”, a tailored securities-offering framework for certain investment contracts involving crypto assets (SEC, August 18, 2026). It builds […]
August 24, 2026
The takeaway in 30 seconds: On August 14, 2026, the SEC charged a New York operator and three entities with running a boiler-room scheme that raised more than $74 million from over […]
August 21, 2026
The takeaway in 30 seconds: With Reg S-P’s amendments now in effect for smaller advisers as of June 2026, a lot of firms are treating the deadline as the finish line. They […]
August 13, 2026
The takeaway in 30 seconds: On August 5, 2026, the SEC announced a new Financial Reporting and Accounting Unit inside the Enforcement Division, a specialized team of attorneys and accountants dedicated to […]
August 12, 2026
The takeaway in 30 seconds: On August 10, 2026, the SEC charged private fund adviser Adit Ventures Management, its CEO, and three affiliated general partners with fraud misappropriating client assets, charging millions […]
