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FUNDamentals: Navigating FinCEN’s ‎New AML Regulations for Investment ‎Advisers

On August 28, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the “Rule”) that amends the definition of “financial institution” under the Bank Secrecy Act...more

FUNDamentals: Fifth Circuit Vacates New SEC Private Fund Adviser Rules

On June 5th, 2024, the United States Court of Appeals for the Fifth Circuit (the “Court”) vacated the U.S. Securities and Exchange Commission’s (“SEC’s”) private fund advisers rules (the "Rules"), which would have imposed...more

FUNDamentals: Is the Joint FinCEN and SEC Proposal for Investment Adviser Customer Identification Program DoA?

On May 13, 2024, the U.S. Securities and Exchange Commission’s Division of Investment Management (“SEC”) and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a joint proposal...more

FUNDamentals: FinCEN [Re]Proposes Anti-Money Laundering Rules for Investment Advisers

On February 13, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) proposed a new rule that would require federal investment advisers to add Bank Secrecy Act (“BSA”) type anti-money...more

SEC Makes Regulatory “Sea Change” ‎Official With Adoption of New Rules for Private ‎Fund Advisers

On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted (via 3-2 vote of the Commissioners) a package of five key new rules and amendments (Final Rules) to existing rules under the Investment Advisers...more

2022 SEC Examination Priorities ‎

On March 30, 2022, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) issued its annual examination priorities for 2022. The Division will prioritize five significant focus areas...more

Risk Alert – Investment Adviser Principal and Cross Trading Compliance Issues ‎Specifically Related to Fixed Income Securities

On July 21, 2021, the Securities and Exchange Commission (the “SEC”), Division of Examinations (the “Division”), issued new guidance regarding “Fixed Income Principal and Cross Trades by Investment Advisers from an...more

Limited Time to Obtain Special Exam Waiver – IARs in New York Must Now Register

The New York State Department of Law recently adopted regulations (“NY IAR Regs”) that, starting February 1, 2021, require Investment Adviser Representatives (“IAR”) representing a New York state registered investment adviser...more

SEC Adopts New Marketing Rule, Replacing Advertising and Cash Solicitation Rules

On December 22, 2020, the SEC finalized rules governing investment adviser marketing and payments to solicitors under the Investment Advisors Act of 1940, as amended. The reforms create a single rule to replace the current...more

SEC Proposes New Rules to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers, and the SEC Staff...

The US Securities and Exchange Commission (SEC) has proposed to amend and modernize certain rules under the Investment Advisers Act that deal with investment adviser advertising and payments to solicitors. The proposed...more

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