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 […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
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 […]
August 11, 2026
The takeaway in 30 seconds: The mid-August 13F deadline doesn’t stand alone; it kicks off a dense run of filing obligations that cluster through the fall. And the deadlines a CCO is […]
August 7, 2026
The takeaway in 30 seconds: Most firms run compliance as a series of fire drills, the annual review sprint, the pre-exam scramble, the quarterly filing crunch. The assumption underneath that model is […]
August 5, 2026
The takeaway in 30 seconds: Almost every RIA has a compliance calendar. Far fewer have a compliance calendar that actually does anything. The difference is two things: whether every item has a […]
August 3, 2026
The takeaway in 30 seconds: Two weeks after the August 14 Form 13F deadline comes a quieter one: Form N-PX, the annual say-on-pay proxy voting disclosure, due August 31. Here’s the trap […]
July 29, 2026
The takeaway in 30 seconds: On July 23, 2026, the SEC announced a September 17 roundtable to discuss moving U.S. equity markets toward 24-hour trading overnight sessions, round-the-clock operations, and the resiliency […]
July 27, 2026
The takeaway in 30 seconds: Form 13F for Q2 2026 is due around August 14. Form N-PX follows on August 31. And the SEC has already shown it will pursue these filings […]
July 22, 2026
The takeaway in 30 seconds: On July 16, 2026, the SEC proposed Regulation E-Delivery, which would let RIAs, broker-dealers, and issuers deliver required information electronically by default without first getting each client’s […]
