News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Regulatory Preparedness 2025: Amended Reg S-P and AML/CFT

As we approach the mid-point of 2025, two compliance deadlines stand out for compliance professionals, amended Regulation S-P and FinCEN’s Anti-money laundering/countering the financing of terrorism Rule (the “AML/CFT” Rule).

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More Court Ordered Whiplash on Beneficial Ownership Information Filings under the Corporate Transparency Act

On January 23, 2025, the U.S. Supreme Court granted the government’s motion to stay the nationwide preliminary injunction issued by a Texas district court in Texas Top Cop Shop, Inc. This would mean that the reporting of Beneficial Ownership Information under the Corporate Transparency Act (CTA) is back on.

SEC Posts 2025 Names Rule FAQs

On January 8, the SEC’s Division of Investment Management issued new FAQs on the Investment Company Names Rule, which was amended in 2023. These amendments aim to increase shareholder protection by increasing the scope of funds required to adopt a policy to invest at least 80% of its assets based on the investment approach suggested by the fund name, as well as notice and recordkeeping requirements related to these policies.

Trump Administration Initiates Regulatory Freeze on Pending Rules

In a memorandum released by the White House on Monday, President Trump ordered all government agencies to cease all proposals or issuance of any new rules and to withdraw any unpublished rules that have been sent to the Office of the Federal Register but have yet to be published in the Federal Register.

IAR Continuing Education Requirements: What Does Your CE Status Mean?

What happened? Individuals registered as Independent Adviser Representatives (“IARs”) may be required to complete annual […]

SEC Fines Firm $45M for Recordkeeping, Cyber Woes

The SEC announced on January 13, 2025, that two brokerage firms agreed to pay a combined $45 million, $33.5 million, and $11.5 million, respectively, in civil penalties relating to multiple SEC charges stemming from their brokerage operations.

Recordkeeping Failures for Off-Channel Communication Cost 12 Firms $63 Million in SEC Penalties

The Securities and Exchange Commission (“SEC”) announced charges against nine investment advisers and three broker-dealers for failures to maintain records of electronic communications by employees, in violation of federal securities laws. The firms paid penalties ranging from $4 million to $12 million, except for one firm that self-reported its violations and paid the reduced penalty of $600,000.

SEC Charges Boston-Based Registered Investment Adviser and Its Managing Partner for Failing to Disclose Conflicts of Interest

On December 20, 2024, the SEC announced settled charges against Rose Park Advisors, LLC (“Rose Park”), a Boston registered investment adviser, and its managing partner, Matthew Q. Christensen (“Christensen”). The charges stemmed from failing to disclose significant conflicts of interest related to investments made by one of their clients (“the Fund”), which invested nearly $50 million in a portfolio company run by Christensen’s uncle.

Notice: Federal Government Closed on January 9

 All executive departments and agencies of the Federal Government will be closed on Thursday, January 9, 2025, as a mark of respect for former President Jimmy Carter, pursuant to President Biden’s recent executive order.

2025 Compliance Program Checklist

There are a number of compliance deadlines that are already set for 2025. Similarly, the 2025 Exam Priorities published by the Division of Examinations and published observations from the commission will continue to be a guide for effective compliance programs. Start your year off on the right foot with our 2025 Compliance Program Checklist.

Court Ordered Whiplash: US Court of Appeals Blocks Corporate Transparency Act Again

On December 26, 2024, a merits panel of the Fifth Circuit Court of Appeals reinstated a nationwide injunction blocking enforcement of the Corporate Transparency Act (CTA) and its required reporting of beneficial ownership information.

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