Insights Our Latest
Research

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

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…

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.
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. 

Infographic

Insource / Outsource Tradeoff for Marketing Compliance Reviews

For many investment managers, outsourcing marketing compliance can bring cost savings, predictability and transparency.

Analytical Note

Paul Atkins’ Senate Confirmation Hearing Provides Window into Priorities

Atkins testified before the Senate Banking Committee as part of his nomination for SEC Chairman.

Analytical Note

Marketing Rule FAQ Update Clarifies Key Issues but Imposes Requirements

Marketing Rule FAQ Update Clarifies Key Issues but Imposes Requirements

Analytical Note

New No-Action Letter Resolves Key Uncertainty Around 506(c) Offerings

SEC issues a new No-Action letter resolving key uncertainty around 506(c) offerings.

Contact Us Need Compliance Support?

Whether you’re looking for strategic advisory services, marketing and advertising reviews, or ongoing compliance support, leverage our regulatory expertise to minimize risk while you stay focused on the core of your business.

Get in Touch