Lauren Ford

FINCEN Postpones AML/CFT Rules For Investment Advisers Until 2028 And Revisits Scope Of Such Rules

SEC Staff Issues Welcome Guidance On Extracted Performance And Portfolio Characteristics Under The Marketing Rule

SEC Off-Channel Communications Enforcement Sweep Continues — Settlements By 12 Firms And Assessments Of Over $63 Million In Penalties

SEC Division Of Examinations Publishes 2025 Examination Priorities

Recent SEC Enforcement Action Integrating Affiliated Advisers