Our Financial Services, Investment Funds, and White Collar, Government & Internal Investigations Teams break down the latest Financial Crimes Enforcement Network (FinCEN) rule investment advisers must ...

A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

Learn how to become a registered investment advisor (RIA) for more independence and fiduciary responsibilities, including required exams and filings.

On December 16, 2025, the SEC’s Division of Examinations (the “Staff”) issued a risk alert (“Risk Alert”) highlighting observations from examinations of investment advisers’ 1 compliance with Rule 206 ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

When starting out as a financial advisor, compliance can feel like a maze of regulations. However, mastering it can help avoid significant financial risk. Compliance touches everything an advisor does ...

Financial advisors are increasingly adopting AI tools, including automated notetakers, meeting schedulers and portfolio analysis, but one critical step is largely missing: a governance framework for ...

STP Investment Services (STP), a global provider of technology-enabled investment operations, fund administration, and compliance solutions, today announced the expansion of its ComplianceAdvisor ...

Financial advisors can use this structured AI prompt to create internal AI usage policies that address compliance, client privacy, and best practices.

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...