Regulatory Updates
9 articles in this category
July 2026 Compliance News: New SEC Guidance on AI Use by RIAs
Mid-year SEC signals on AI oversight, model validation, vendor due diligence, and disclosure alignment that RIAs should act on before year-end reviews.
February 2026 Compliance News: RIA Exam Readiness and Disclosure Updates
A practical review of February compliance priorities for RIAs, including exam evidence files, disclosure updates, and marketing substantiation.
Cybersecurity Rule Compliance: January 2026 Deadline Guide
Step-by-step implementation guide for the SEC's cybersecurity disclosure requirements now in effect for registered investment advisers.
SEC Marketing Rule: The Complete Compliance Guide for RIAs in 2025
Navigate testimonials, endorsements, performance advertising, and digital marketing under the modernized SEC Marketing Rule.
Form PF Modernization: November 2025 Reporting Updates
Complete breakdown of the enhanced Form PF requirements for large hedge fund advisers and implementation strategies for the new quarterly reporting obligations.
Books and Records Modernization: Digital Compliance in 2025
Updated guidance on electronic recordkeeping requirements, cloud storage protocols, and audit trail standards for investment advisers.
Private Fund Advisers Rule: 2025 Implementation Guide
Comprehensive analysis of the final private fund adviser rules and step-by-step compliance roadmap for hedge fund and private equity advisers.
Form CRS Updates: What Changed and What RIAs Must Do Now
Breaking down the latest Form CRS amendments and implementation requirements for relationship summaries in 2025.
SEC Marketing Rule: What RIAs Need to Know in 2024
A comprehensive guide to the amended Marketing Rule and its implications for investment advisors using digital marketing strategies.