On July 21, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced a two-year postponement of the Anti-Money Laundering (AML)/Countering the Financing of Terrorism (CFT) Program and...more
8/4/2025
/ AML/CFT ,
Anti-Money Laundering ,
Exempt Reporting Advisers (ERAs) ,
FinCEN ,
Investment Adviser ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury
The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
10/26/2023
/ Business Valuations ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Disclosure Requirements ,
Examination Priorities ,
Fees ,
Fraud ,
Illiquid Assets ,
Information Security ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Portfolio Managers ,
Proprietary Trading ,
Reporting Requirements ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more
9/12/2023
/ Administrative Procedure Act ,
Attorney's Fees ,
Audits ,
Clawbacks ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Deadlines ,
Disclosure Requirements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Investors ,
New Amendments ,
New Rules ,
Private Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Transparency
On August 10, 2022, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint proposal to amend Form PF, a reporting form for SEC-registered reporting private fund...more
Many investment funds, advisors, and companies have been working to incorporate environmental, social, and governance (ESG) factors into their investment practices, but the US Securities and Exchange Commission (SEC) has...more