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Title: RIA Compliance Blog — Published by RIA Compliance Lawyers — Registered Investment Advisor Regulation Attorneys — Parker MacIntyre
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Highlighting the importance of investment advisers’ proper calculation of assets under management (“AUM”), the SEC recently charged six investment advisers with misrepresenting their AUM.
The six connected firms, Bluesky Eagle Capital Manage...
On November 18, 2025, the SEC Division of Examinations announced its 2026 examination priorities. Each year, the Division releases its href="https://www.sec.gov/files/2...
In a recent enforcement action that is significant to broker-dealers and investment advisers alike, FINRA continues to emphasize the importance of making full and accurate disclosures in customer relationship summaries (Forms CRS) and of following the Form’s instructions.
Last month, href="https://www.finra.org/sites/default/files/fda_documents/2021069372901%20J.K.%...
The compliance deadlines for the SEC’s amendments to Regulation S-P, adopted on May 15, 2024, are approaching. For investment advisers with $1.5 billion or more in assets under management, the compliance deadline is December 3, 2025. Advisers with fewer than $1.5 bill...
Two recent SEC enforcement cases highlight the importance of registered investment advisers presenting true and accurate records to the Commission. While the facts of each case differ, they show that the documents’ falsification is worse than their insufficiency.
In the first case, a CCO allegedl...
