Regulatory Compliance Watch

Regulator Compliance Watch is your top resource for clear answers to your most challenging questions about IA, BD, CPO/CTA, and Private Fund compliance. Our service provides the latest news, unique insights, and effective best practices along with a full range of compliance tools at your fingertips. Our experts have direct connections with policymakers and knowledgeable peers, ensuring that subscribers receive early alerts about new regulations and straightforward advice to navigate complicated government rules.

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SEC Chairman Atkins prioritizes a crypto regulatory regime

3 days ago | regcompliancewatch.com | Carl Ayers

"For the United States to be the 'crypto capital of the planet' as envisioned by President Trump, the Commission must keep pace with innovation and consider whether regulatory changes are needed to accommodate on-chain securities and other crypto assets"
SEC Commissioner Peirce fervently supports tokenization

3 days ago | regcompliancewatch.com | Carl Ayers

"Tokenization cannot reach its full potential without legal clarity"
SEC Commissioner Crenshaw questions what the SEC is trying to do with crypto

3 days ago | regcompliancewatch.com | Carl Ayers

SEC Commissioner Crenshaw questions what the SEC is trying to do with crypto"It’s clear that a tokenized financial system is unlike anything we’ve seen before. It’s not something known and understood"
SEC Commissioner Uyeda urges a crypto rulebook

3 days ago | regcompliancewatch.com | Carl Ayers

"Market participants should not be left guessing as to how they can comply with the Commission rulebook"
House GOP may save carry

5 days ago | regcompliancewatch.com | Bill Myers

Ways and Means Committee Chair Jason Smith, R-Mo., walks a fine line as he moves President Trump's 'big, beautiful' tax bill through markup
SEC guidance begins to flow

1 week ago | regcompliancewatch.com | Carl Ayers

Predictions greeted the new SEC under the Trump Administration that staff would be unleashed to help the industry navigate the legal landscape. They’re proving true
RCW exclusive: New AUM data reveal the big getting bigger

1 week ago | regcompliancewatch.com | Carl Ayers

RCW exclusive: New AUM data reveal the big getting biggerThe growth in the numbers of SEC RIAs rose nearly 3% in the last year
Prepare now for your next NPX filing

1 week ago | regcompliancewatch.com | Carl Ayers

Prepare now for your next NPX filingSources tell RCW that EDGAR doesn’t deserve the blame for the N-PX conversion issue. That Excel does. If this is true, you may find yourself in exactly the same predicament this year as you were last
New SEC Chairman Atkins touches on his vision

1 week ago | regcompliancewatch.com | Carl Ayers

New SEC Chairman Atkins touches on his vision"We will work together to protect investors from fraud, keep politics out of how our securities laws and regulations are applied, and advance clear rules of the road that encourage investment in our economy to the benefit of all Americans"
SEC Commissioner Peirce talks regulations' role in innovation

1 week ago | regcompliancewatch.com | Carl Ayers

"Poor regulation may not only keep new competitors out, but may prevent incumbents from using new technologies. Here too regulators can take measures to ensure that regulation does not become a barrier to technology"