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Research

Explore our latest thinking on the issues that matter most in risk, compliance and regulation.

Our AI Regulatory Tracker provides an overview of key federal, state, and international policies relating to AI legislation and depicts SEC enforcement cases that relate to AI or cybersecurity violations.
Analytical Note

SEC Safeguarding Rule — Initial Impressions for Alternative Investment Managers

The SEC proposed a renumbered and revised Custody Rule which would be renamed the “Safeguarding Rule.”

Analytical Note

2023 Exam Priorities Related to Private Funds and Investment Advisers

This note focuses on the priorities relevant to private fund managers and large alternative investment platforms.

Analytical Note

Valuation settlement with Bloomberg highlights an enforcement roadmap

The structure of the case is similar to one that might be brought against private fund managers.

Infographic

Private Company Valuation

Five valuation red flags and what to do about them

Analytical Note

Summary of SEC’s updated marketing rule FAQ

Key takeaways from an updated FAQ on the modernized marketing rule

Infographic

Demystifying the SEC Exam Process

A Simple Guide to SEC Examinations

Analytical Note

Two Point Capital — Compliance failures / lack of annual review leading to CCO liability

One of the charges could be the first of its kind.

Analytical Note

Goldman Sachs Asset Management ESG policy and procedure failures

The case addresses some common foot faults we have observed in ESG program implementation.

Analytical Note

SEC Proposed Rule on Outsourcing by Investment Advisers

A significant majority of outsourced service providers will be affected by the proposed rule package.

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