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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PFs pick up win in Intel ruling

6 days ago | regcompliancewatch.com | Bill Myers

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Trump admin backs asset managers’ suit

6 days ago | regcompliancewatch.com | Bill Myers

FTC, DOJ statement of interest a frontal attack on 'woke' investing, the proxy advisor 'cartel'
Extension sought for Form PF amendments

1 week ago | regcompliancewatch.com | Hugh Kennedy

The MFA is requesting that the SEC and CFTC extend the deadline an additional 12 months until June 2026
GOP wants private funds to be more democratic

1 week ago | regcompliancewatch.com | Bill Myers

GOP wants private funds to be more democraticRegulators, legislators move quickly, but are not in a hurry.
Atkins: It is a new day

1 week ago | regcompliancewatch.com | Bill Myers

Atkins: It is a new day'Financial innovation sometimes means getting out of the way of capital formation and allowing all investors to gain the benefits of our robust markets,' new chairman tells the Practising Law Institute.
Peirce eyes exam ride along

1 week ago | regcompliancewatch.com | Bill Myers

'If you have a problem that you’ve identified, let’s sit down together and figure what a regulatory solution might look like,' Republican commissioner tells industry at Private Funds CFO's annual compliance conference.
You’re on notice: Exams and Reg S-P

2 weeks ago | regcompliancewatch.com | Carl Ayers

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready
SEC Commissioner Crenshaw decries the dismissal of crypto lawsuits

2 weeks ago | regcompliancewatch.com | Carl Ayers

"They ignore the laws enacted by Congress – namely fundamental registration requirements of the federal securities laws – as well as long lines of judicial precedent. And they harm investors, businesses, and the capital markets"
Congress and accredited investors

2 weeks ago | regcompliancewatch.com | Carl Ayers

"Meaningfully expanding the pool of accredited investors while preserving appropriate investor protections would help democratize access to investment opportunities and foster capital formation, ensuring that a broader demographic can partake in the financial growth and innovation our country offers"
FAQs cover crypto, B-D custody and capital rules

2 weeks ago | regcompliancewatch.com | Hugh Kennedy

Ten questions and answers tackle broker-dealer financial reponsibility and transfer agents