The Financial Crimes Enforcement Network (FinCEN) announced on February 27, 2025 that it will not issue any fines or penalties or take any other enforcement action for failing to file or update BOI reports by the current...more
On February 18, 2025, the U.S. District Court for the Eastern District of Texas issued an Order in the Smith case lifting the preliminary injunction against enforcement of the CTA. Therefore, BOI Report filings are once again...more
On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more
2/5/2025
/ Compliance ,
Consumer Privacy Rights ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Financial Institutions ,
Financial Services Industry ,
Policies and Procedures ,
Privacy Laws ,
Recordkeeping Requirements ,
Regulation S-P ,
Securities and Exchange Commission (SEC)
At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more
3/11/2021
/ Advertising ,
Compliance ,
Endorsements ,
Investment Adviser ,
Marketing ,
Performance Reviews ,
Policies and Procedures ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Third-Party