Regulatory Updates
10 articles in this category
Q3 2026: 10 SEC Developments Every RIA CCO Should Understand
Jorge Ascencio looks at ten Q3 SEC developments and what they mean for RIA compliance teams, from annual reviews and referral conflicts to proposed rules.
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.