Understanding Alternative Investments and How to Conduct Due Diligence In today's dynamic investment landscape, diversification is key to...

What to Do When an Employee’s Device Is Stolen: A Compliance Checklist for RIAs In today’s highly mobile and interconnected world, the...

U.S.-based Registered Investment Adviser (RIA) firms often encounter a situation where an existing client relocates abroad, particularly...

The SEC Withdraws Proposed Cybersecurity Rule: What It Means for RIAs and Broker-Dealers In a notable shift, the U.S. Securities and...

SEC Chair Atkins Charts New Course Away from 'Regulation by Enforcement' Introduction In a statement that’s reverberating across Wall...

NASAA Warns Against Federal Moratorium on State AI Regulation: Implications for Investor Protection The North American Securities...

Why Whiteout is the Enemy of the Regulator In the world of compliance, audit, and regulatory oversight, transparency and integrity of...

Expanding Horizons: New States Embrace NASAA's IAR CE Model Rule for 2025 and 2026 The landscape of investment adviser regulation is...

Demystifying the Digital Asset Market Clarity Act: What Investment Advisers Should Know Demystifying the Digital Asset Market Clarity...