Stay informed on the latest regulatory updates for SEC registered investment advisors with our comprehensive summary. Explore amendments and risk alerts covering a wide range of topics, including Regulation S-P, the adoption of a customer information program. a risk alert on the Marketing Rule compliance. Keep up-to-date with the evolving landscape of compliance requirements to ensure your investment advisory practices are in line with current regulations.

• Amendments to Regulation S-P – May 15, 2024
• Proposed Anti-money Laundering Regulation – May 13, 2024
• Risk Alert on the Marketing Rule Compliance – April 17, 2024
• SEC Approval of Spot Ethereum ETFs – May 23, 2024
• SEC charges five investment advisers for Marketing Rule violations – April 12, 2024