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On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department announced...
On February 15, 2024, the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposed Rule) in the Federal Register that...
INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state...
In February 2022, the Securities and Exchange Commission (the "SEC" or the "Commission") proposed sweeping new regulatory requirements under the Investment Advisers Act of 1940...
On August 23, the Securities and Exchange Commission (SEC) voted 3-2 (with Commissioners Peirce and Uyeda dissenting) in favor of adopting new and amended rules...