Division of Examinations (" Examination Division ") released its 2026 Examination Priorities Report (the " Priorities Report "), the first issued under new Chairman Paul S. Atkins. 1 This annual ...

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 ...

The 2026 Priorities also highlight the SEC’s increasing attention to the use of emerging artificial intelligence (AI) technologies. In contrast, crypto assets, which were previously a stand-alone ...

According to experts, the persistence of regulatory silos has led to distinctions being drawn on nomenclature rather than ...

Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

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 ...

Oak Hill Advisors reported achieving a sixfold return on its AI investment through the deployment of the Hebbia platform ...

Regulatory filings show Larry Weinzapfel allegedly did not address a dozen audit deficiencies within required timelines, ...

SEBI forms a working group to address regulatory overlaps between mutual fund distributors and investment advisers, enhancing ...

The five largest Registered Investment Advisers based in the Charlotte area each manage over $100 billion in assets. Information on The List was obtained from Securities and Exchange Commission data ...

When you meet with financial advisers, you want them to speak freely. You’re looking for unvarnished advice, not wishy-washy hedging. Many advisers will open up candidly in private conversation. But ...