Regulatory Compliance Watch

Discover the latest #regulatorycompliance trends from the 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴. Obtain valuable insights on responses to the new IA advertising rule FAQs, the #SEC's stance on #AI, potential changes under the #TrumpAdministration, and more... ➡️https://okt.to/xeTVkl

The recent FAQs from the #SEC regarding marketing rules and performance are getting a lot of positive attention. 🔗https://okt.to/yglFaP 🗣️ Lance C. Dial, Pamela (McBurney) Grossetti, and Jennifer Klass, partners at K&L Gates #RegulatoryCompliance #PrivateFunds

Since the #SEC's crypto task force held its first meeting on March 21, the Commission has promptly revealed plans for four additional roundtables. 🔗https://okt.to/6qkHT5 #RegulatoryCompliance #Cryptocurrency

Paul Atkins, the SEC Chair nominee, recently testified before the Senate Banking Committee. He highlighted his dedication to protecting investors from #fraud, ensuring political neutrality in securities laws, and pushing for clear #regulations that encourage economic growth for everyone. He aims to bring back the #SEC's core mission of safeguarding #investors, promoting fair markets, and supporting capital formation. 🔗https://okt.to/cVGlxa #RegulatoryCompliance

#ICYMI: Catch up on 𝗥𝗲𝗴𝘂𝗹𝗮𝘁𝗼𝗿𝘆 𝗖𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲 𝗪𝗮𝘁𝗰𝗵'𝘀 most viewed stories in March like: ✅ RCW exclusive: Leases on three #SEC regional offices to end ✅ SEC greenlights self-certification in #privatefunds ✅ Adviser claims foul as trial nears ✅ #Compliance best practices: Approaches to tracking gifts and entertainment ✅ and much more! Check out March's 𝘁𝗼𝗽 𝘁𝗿𝗲𝗻𝗱𝗶𝗻𝗴 𝘀𝘁𝗼𝗿𝗶𝗲𝘀 today: https://okt.to/8nYhzJ #RegulatoryCompliance

Find out what's hot in the regulatory compliance world with the latest 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴: ▪️ Tips to improve your incident response prep ▪️ A look at the #SEC's latest FAQs tied to marketing ▪️ Yet another change in #FinCEN's BOI rule ▪️ And, much more here ➡️https://okt.to/uW31Ps #RegulatoryCompliance #PrivateFunds #Cybersecurity #AML

A common issue found during an incident response plan is when a manager assigns a task to an employee who is not present, leaving that individual unaware of their responsibilities. 🔗https://okt.to/4cWi5n 🗣️ Joshua Cook of The Wagner Law Group #RegulatoryCompliance #Cybersecurity

Robinhood faces a challenging Q1 with a $45M SEC settlement and a recent $26M FINRA fine for #AML violations, despite receiving good news about its #crypto operations in February. 🔗https://okt.to/K1egwy #RegulatoryCompliance #SEC #FINRA #Robinhood

Find out what's hot in the regulatory compliance world with the latest 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴: ▪️ An 𝗦𝗘𝗖 no-action letter that greenlights self-certification of accredited investors is a coup for Latham & Watkins and possibly a boon for private funds ▪️ A Commission advisory committee wrestles with AI disclosure risks ▪️ LPs eye risks amid DE&I backlash ▪️ And, much more here ➡️https://okt.to/OVYX2S #RegulatoryCompliance #PrivateEquity #SEC

Join your peers for the Regulatory Compliance Watch webinar, co-hosted with Private Funds CFO, Private funds and the #SEC in Trump 2.0 webinar. 𝗧𝗢𝗗𝗔𝗬 𝗮𝘁 𝟮 𝗣𝗠 𝗘𝗧, you'll gain valuable insights from experts Greg Baker and Emilie Abate. Register now and earn 1 CLE/CPE credit. 🔗https://okt.to/GtjDiP #RegulatoryCompliance #PrivateFunds #TrumpAdministration #Compliance #CLE