On August 7, 2025, the White House issued an executive order called “Democratizing Access to Alternative Assets for 401(k) Investors” (Order). The Order focuses on 401(k) plans and other participant-directed defined...more
On July 21, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to delay the effective date for certain investment advisers to implement anti-money...more
7/24/2025
/ AML/CFT ,
Anti-Money Laundering ,
BSA/AML ,
Compliance ,
Financial Crimes ,
FinCEN ,
Investment Adviser ,
Investment Management ,
Regulatory Requirements ,
Rulemaking Process ,
Suspicious Activity Reports (SARs)
The report outlines the advantages and potential risks associated with AI, while also offering insight into current regulatory perspectives on its use. The GAO’s findings have been shared with the SEC and could influence...more
On April 22, 2025, Laura D’Allaird, Chief of the SEC’s Cyber and Emerging Technologies Unit (CETU), participated in the Incident Response Forum Masterclass 2025 (Incident Response Masterclass). In the session, titled “SEC...more
5/13/2025
/ Artificial Intelligence ,
Cyber Attacks ,
Cybersecurity ,
Data Privacy ,
Data Security ,
Emerging Technologies ,
Enforcement Actions ,
Financial Institutions ,
Fraud ,
Investment Adviser ,
Regulation S-P ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Technology Sector