On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to delay the effective date of the final rule imposing anti-money laundering (AML) obligations on...more
7/23/2025
/ Anti-Money Laundering ,
BSA/AML ,
Effective Date ,
Exemptions ,
Final Rules ,
Financial Crimes ,
Financial Regulatory Reform ,
Financial Services Industry ,
FinCEN ,
Investment ,
Investment Adviser ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process
On October 26, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the existing disclosure framework for open-end funds (e.g., mutual funds and exchange-traded funds) intended to represent a comprehensive...more
RULEMAKING AND GUIDANCE -
SEC Adopts Amendments to Exemptive Applications Procedures -
On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more
9/21/2020
/ Amended Rules ,
Compliance ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Ethics ,
Fiduciary Rule ,
Final Rules ,
Financial Institutions ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
New Rules ,
OCIE ,
Securities and Exchange Commission (SEC)
On July 22, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments (Amendments) to certain of its rules governing proxy solicitations under the Securities Exchange Act of 1934 (Exchange Act). The...more
7/28/2020
/ Corporate Governance ,
Final Rules ,
Guidance Update ,
Investment Adviser ,
Proxy Advisors ,
Proxy Advisory Firms ,
Proxy Season ,
Proxy Voting ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act