Proposed Rule: Enhanced Safeguarding Rule for Registered Investment Advisers (Proposed Date: February 15, 2023) The proposed Enhanced...

Advisory firms are subject to various regulations aimed at safeguarding client data, including the Red Flags Rule under the Fair Credit...

As the regulatory landscape for Registered Investment Advisers (Firms ) continues to evolve, staying ahead of proposed rules is crucial...

Introduction Hypothetical performance is a key component of the SEC’s Marketing Rule, which imposes specific criteria that firms must...

The recent global outage caused by a faulty CrowdStrike update, which affected Microsoft Windows systems worldwide, serves as a critical...

The recent SEC enforcement action against Van Eck Associates Corporation (VEAC) offers several valuable compliance lessons for registered...