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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Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

Department of Labor Announces 18-Month Delay of the Fiduciary Rule

The Department of Labor has announced that the applicability date of the Fiduciary Rule’s Best Interest Contract Exemption, the Principal Transactions Exemption and specific amendments to Prohibited Transaction Exemption 84-24 (PTE)s have been delayed from Jan.1, 2018, to July 1, 2019.

Division of Enforcement Releases Annual Report

On November 15, 2017, the SEC’s Division of Enforcement released its annual report for Fiscal Year 2017 (“FY 2017”).

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.

SEC Grants Relief to Broker-Dealers and Investment Advisers

The SEC released three no-action letters that will provide 30 months of relief under the Investment Advisers Act of 1940 for US broker-dealers under the second Markets in Financial Instruments Directive (“MiFID II”).

Natural Disasters Emphasize Need for Business Continuity and Transition Plans

Advisers should prioritize the implementation of written business continuity and transition plan to minimize operational disruptions arising from natural disasters, data security breaches, and the departure of important personnel. To maximize the efficiency of the written business continuity and transition plan, advisers should focus on a variety of business components

House Panel Passes Bill to Repeal DOL Fiduciary Rule

On October 12, 2017, the House Financial Services Committee passed the Protecting Advice for Small Savers Act of 2017 (the “PASS Act”), which would repeal the DOL’s Fiduciary Rule.  This bill would keep fiduciary rulemaking under the SEC’s jurisdiction.

RIA Examinations Expected to Rise by 25% Over Next 2 Years

Congress, SEC Chairman Clayton stated that the SEC is on track to increase the number of registered investment adviser (“RIA”) examinations by 20 percent in the fiscal year 2017 and by an additional 5 percent in the fiscal year 2018.

SEC Spoofed Emails Used In Spear Phishing Attack

Cisco’s Talos Intelligence Group has identified a targeted cyber-attack focusing on specific organizations. 

Reminder that the New Form ADV Rules Took Effect on October 1, 2017

All Form ADVs filed on or after October 1, 2017, must now report the new information required by the updated form.

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