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On December 31, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) finalized a two‑year delay of the...
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Investment advisers may request confidential treatment of certain information in Form ADV and other filings under the Investment Advisers...
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On January 7, the Securities and Exchange Commission (SEC) proposed amendments (the Proposal) to raise the small entity thresholds for...
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The SEC's Division of Examinations' staff (Staff) issued a Risk Alert on December 16, highlighting additional observations on investment...
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On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first...
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On December 2, Brian Daly, the new Director of the Division of Investment Management for the Securities and Exchange Commission (SEC),...
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Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...
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On 14 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/28) setting out proposals to advance fund...
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The Securities and Exchange Commission (the SEC or the Commission) recently released its Spring 2025 Unified Agenda of Regulatory and...
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Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
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On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
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Eleven spot bitcoin-based exchange-traded products (ETPs) were finally approved by the Securities and Exchange Commission (SEC) on...
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On October 13, 2023, the SEC adopted Rule 13f-2 which will require institutional investment managers (“Institutional Managers”) to report...
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CLICK HERE to register for this event. Industry-leading authority Henry Bregstein will moderate a half-day program on tax-efficient...
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On 11 July 2023, HM Treasury issued two publications on the future of the UK’s short-selling regime. The first publication was the UK...
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On July 1, 2023, the first reporting period for disclosure on Form N-PX of proxy votes regarding certain executive compensation matters...