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SEC examination observations regarding annual compliance reviews under Advisers Act Rule 206(4)-7 and related considerations for investment advisers.
An overview of carve-out performance under the SEC Marketing Rule and key considerations for private fund advisers using performance data in fundraising and investor comm
An overview of custody-related compliance considerations for private fund advisers in 2026, including operational controls, fund administrators, and regulatory oversight.
Key compliance considerations for advisers navigating market volatility in 2026, including disclosures, communications, and documentation.
Key enforcement themes under the SEC Marketing Rule in 2026, with a focus on substantiation, disclosures, and recordkeeping.
What RIAs and broker-dealers should consider as reliance on third-party technology platforms expands across operations and client delivery.