On October 21, 2024, the Securities and Exchange Commission’s Division of Examinations released its 2025 examination priorities. The examination priorities are published annually by the Division to inform investors and...more
In 2023, the Securities and Exchange Commission issued various proposed rules on regulatory changes that will affect SEC-registered investment advisers (RIAs). Since these rules are likely to be put into effect, RIAs should...more
1/12/2024
/ Analytics ,
Conflicts of Interest ,
Custody Rule ,
Cybersecurity ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Outsourcing ,
Policies and Procedures ,
Predictive Analytics ,
Proposed Rules ,
Registered Investment Advisors ,
Risk Management ,
Securities and Exchange Commission (SEC)
In 2023, Registered Investment Advisers (“RIAs”) who are registered with the Securities and Exchange Commission (“SEC”) should be prepared for regulatory changes. These include proposed changes to rules governing RIA...more