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
This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30.
Rulemaking and Guidance:
• SEC Issues Third Marketing Rule Risk Alert for...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more