Trump Picks New SEC Head, SEC Enforcement Starts Strong in 2025, and Latest Lessons from EXAMS: Details Matter and Duty of Care Fails - Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the...more
2/3/2025
/ Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Enforcement Priorities ,
Fiduciary Duty ,
Form PF ,
Investment Adviser ,
Presidential Appointments ,
Private Funds ,
Regulation D ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trump Administration
After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more
11/27/2024
/ Asset Management ,
Compliance ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Greenwashing ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Private Funds ,
Registered Investment Advisors ,
Regulation S-P ,
Regulatory Requirements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
6/28/2024
/ Advertising ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Marketing ,
Private Equity Funds ,
Private Funds ,
Regulation BI ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
This article was originally published on Kitces.com, on May 15, 2024, and is available at at DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now about Giving Rollover Advice After September...more
6/10/2024
/ Broker-Dealer ,
Department of Labor (DOL) ,
Duty of Care ,
Duty of Loyalty ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Final Rules ,
Individual Retirement Account (IRA) ,
Internal Revenue Code (IRC) ,
Investment ,
Investment Adviser ,
Investors ,
Prohibited Transactions ,
Registered Investment Advisors ,
Regulation Best Interest ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Security Rule