News & Analysis as of July 30, 2025

Investment Adviser

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC 2025 Exam Priorities and Considerations for the New Administration

Tannenbaum Helpern Syracuse & Hirschtritt LLP on 2/4/2025

On October 21, 2024, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2025. The published priorities inform SEC registrants, investors,...more

Things I Worry About (7): DOL Investigations and Unsuspecting Plan Sponsors

Faegre Drinker Biddle & Reath LLP on 1/29/2025

The DOL’s EBSA has a number of programs that can restore benefits to plans and participants. Those include: - Civil investigations. - Criminal investigations. - Informal compliant resolutions. - Correction programs. ...more

SEC Priorities for 2025: What Investment Advisers Should Know

ArentFox Schiff on 1/14/2025

The US Securities and Exchange Commission (SEC) recently released its priorities for 2025. As in recent years, the SEC is focusing on fiduciary duties and the development of compliance programs as well as emerging risk areas...more

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on 11/22/2024

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

Key Takeaways from the SEC's 2025 Exam Priorities

Stinson LLP on 11/20/2024

On October 21, 2024, the Division of Examinations (Division) of the Securities and Exchange Commission (SEC) published its 2025 examination priorities (2025 priorities). The release of the 2025 priorities is intended to...more

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

Alston & Bird on 11/5/2024

Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

2025 SEC Exam Priorities for Investment Advisers and Registered Investment Companies

Goodwin on 11/5/2024

On October 21, the Securities and Exchange Commission’s (SEC’s) Division of Examinations (Division) released its examination priorities for 2025, outlining the key topics the Division plans to focus on in the upcoming fiscal...more

SEC Division of Examinations 2025 Exam Priorities – a Focus on Artificial Intelligence, Private Funds, and Cybersecurity

Morrison & Foerster LLP on 11/4/2024

On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) announced its 2025 Examination Priorities (the “2025 Priorities”), highlighting areas that it expects to target...more

SEC Division of Examinations Announces 2025 Priorities

Patterson Belknap Webb & Tyler LLP on 10/30/2024

On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more

SEC Division of Examinations Priorities for 2025: Examinations Will Prioritize New Rules for Form PF and Regulation S-P, Fiduciary...

Snell & Wilmer on 10/24/2024

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...more

SEC Imposes New Cybersecurity Requirements on BrokerDealers, Investment Companies, Registered Investment Advisers, and Transfer...

Latham & Watkins LLP on 8/9/2024

Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. The Securities and Exchange Commission (SEC) recently adopted...more

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on 7/31/2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

New Rules for Investment Advisers and Brokers Relating to Cybersecurity Breaches

Katten Muchin Rosenman LLP on 6/28/2024

On May 16, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules relating to cybersecurity breaches involving investment advisers and brokers. Larger entities...more

New SEC Cybersecurity Rules: What to Know and How to Remain Compliant

Epiq on 6/12/2024

As addressing cybersecurity issues continues to become a top priority throughout the financial industry, the U.S. Securities and Exchange Commission (SEC) is following suit. The SEC unanimously voted to approve a new set of...more

Regulatory Roundup for May 2024

SEC Compliance Consultants, Inc. (SEC³) on 5/30/2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Investment Adviser Expectations in 2024

Davis Wright Tremaine LLP on 1/19/2024

Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more

Annual Update of Form ADV and Recent Regulatory Changes Affecting Advisers (UPDATED)

Quarles & Brady LLP on 1/16/2024

As a reminder, each registered investment adviser must file an annual updating amendment to its Form ADV within 90 days of its fiscal year end. This means an adviser with a December 31 fiscal year end will be required to file...more

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 11/16/2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus for Registered Entities

K&L Gates LLP on 11/3/2023

On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on 11/3/2023

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

Thorough Exam: SEC's Division of Examinations Announces Fiscal Year 2024 Priorities

Holland & Knight LLP on 10/26/2023

Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced its fiscal year (FY) 2024 priorities....more

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on 10/26/2023

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

SEC Releases Risk Alert on EXAMS Process

Akin Gump Strauss Hauer & Feld LLP on 9/12/2023

Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents* I. Introduction - The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers...more

REMINDER: Compliance Deadline for FTC's GLBA Safeguards Rule Is Around the Corner

Davis Wright Tremaine LLP on 5/19/2023

A reminder to non-bank financial institutions subject to the Gramm-Leach-Bliley Act (GLBA): the deadline to comply with the Federal Trade Commission's (FTC) revised Standards for Safeguarding Customer Information, commonly...more

Changing of the Guard? SEC Proposes Significant Amendments to the Safeguards Rule

Holland & Knight LLP on 3/23/2023

The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more

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