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What the SEC’s 2026 priorities mean for compliance teams
The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...
What FinCEN’s AML rule delay means for investment advisers
In January 2026, the FinCEN confirmed that the long-anticipated Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) requirements for investment advisers will not come...
SEC marketing rule FAQs: what asset managers must know
Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...
How advisers can strengthen ML/TF/PF risk assessments
Financial planners and investment advisers sit at the heart of household wealth decisions, guiding clients through investments, retirement planning and long-term financial goals, and...
Staying ahead in financial advisor compliance in 2026
Financial advisors operate in one of the most tightly regulated parts of financial services, and the pressure is rising. As client expectations increase, rules...
Avoid penalties with smarter SEC Form ADV preparation
Accurate and timely SEC Form ADV filings play a critical role in protecting an investment adviser’s reputation and maintaining alignment with regulatory expectations.
When firms...
How recent fines shape future communication strategies in FinTech
The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication recordkeeping requirements. This latest enforcement wave pushes the total fines levied for similar violations to over $3bn, underscoring the serious, ongoing issue of non-compliance within the industry.
Preserve eComms or pay the price: The SEC’s 2024 focus on...
The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.
New SEC rules could change the game for hedge funds and...
The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.
Unveiling the cost of non-compliance: 16 firms hit with $81m in...
In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again made headlines by imposing fines on another 16 firms.
