Tag: investment advisers

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...

In January 2026, the FinCEN confirmed that the effective date of its long-awaited AML/CFT rule for investment advisers would be pushed back by two...

Zeidler Group said the SEC’s latest Marketing Rule FAQs, released last Friday, are a targeted clarification rather than a market-moving shift, and warned asset...

Financial planners and investment advisers sit at the heart of long-term wealth decisions, often balancing close client relationships with product distribution and portfolio construction. While...

Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...

Accurate and timely Form ADV filings play a central role in maintaining trust with regulators and protecting an investment adviser’s reputation. When firms fall behind,...

The Financial Crimes Enforcement Network (FinCEN) has recently issued a pivotal final rule that mandates registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish comprehensive anti-money laundering (AML) and countering the financing of terrorism (CFT) frameworks under the Bank Secrecy Act (BSA).

Investment advisers with a 31 December fiscal year-end are in the midst of updating their Form ADV, with a deadline set for 31 March 2025.

An UBO refers to an individual who, although not always officially recorded, holds significant control or ownership of a business entity, generally marked by owning 25% or more of the company.

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...