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Research

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

Analytical Note

SEC Brings First Rule 105 Case Of New Administration

A Colorado-based RIA violated SEC Rule 105 (under Regulation M) when they purchased stock in a public offering after selling…

Analytical Note

SEC Brings Standalone Custody Rule Enforcement Action

An investment adviser with custody over assets failed to obtain a surprise exam.

Analytical Note

SEC Charges Adviser and Individuals for Overbilling and Falsifying Compliance Reviews

On July 11, 2025 the SEC charged an investment adviser for failing to adequately disclose compensation arrangements with an affiliated…

Private Litigation Highlights the Risks of Continuation Funds and Cross Fund Transactions in Private Equity.
Analytical Note

Private Litigation Underscores Risks in Continuation and Cross-Fund Transactions

On July 5, 2025, a civil complaint was filed in the United States District Court for the Southern District of…

Analytical Note

SEC Files Cherry Picking Case, Cites Components of Proper Trade Allocation

The SEC’s order outlined specific steps the adviser could have taken to prevent the misconduct.

Infographic

Democratization of Alternative Investments: Launch and Post Launch Checklist

Building on our earlier piece we published on fund selection—offers an overview of the key compliance responsibilities and setup steps…

Analytical Note

SEC Grants No-Action Letter Providing Limited Relief for Rule 192 Simplifying Implementation of the Rule Outside the ABS Trading Desk

The no-action letter addresses concerns that Rule 192 could be inadvertently triggered when two separate investment teams within the same…

Infographic

Democratization of Alternative Investments: Selecting the Right Fund Structure

The first step to accessing retail markets is selecting the appropriate regulated fund vehicle, as each structure offers its own…

Infographic

Fundraising Pressure + Regulatory Confusion = A Risky Mix for Marketing Compliance

Five common issues that have emerged driven by difficult capital-raising environment and regulatory confusion created by SEC’s latest guidance. 

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