Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...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)
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
8/9/2024
/ Administrative Law Judge (ALJ) ,
AML/CFT ,
Chevron Deference ,
Cybersecurity ,
Department of Labor (DOL) ,
Fiduciary Rule ,
Financial Institutions ,
FinCEN ,
Inspections ,
Jury Trial ,
Pilot Programs ,
Prohibited Transactions ,
Proposed Amendments ,
Proposed Rules ,
PTE 84-24 ,
PTEs ,
Regulatory Agenda ,
Regulatory Reform ,
Rule 2210 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Seventh Amendment ,
Statutory Authority ,
Statutory Interpretation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
6/7/2024
/ AML/CFT ,
Consumer Protection Laws ,
Customer Information ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
Registered Investment Advisors ,
Regulation S-P ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)