Even more than 15 years later, the Bernard L. Madoff Investment Securities scandal — the largest Ponzi scheme in U.S. history — continues to shape the regulatory landscape. Today, regulators are uncovering similar risks in the digital asset space, from cryptocurrencies and tokens to lending platforms. Ponzi schemes often collapse with devastating consequences, leaving investors
Navigating Choppy Waters: Broker-Dealers and the Shifting Regulatory Tide
Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest
Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.
Tuesday, August 26
2:00 – 3:00 p.m.
Beyond the Prospectus: Rethinking Securities in Modern Investing
Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to
On July 21, 2025, to much welcome relief by investment advisers, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its postponement of the effective date of its recently issued anti-money laundering rule (IA AML Rule) from January 1, 2026 to January 1, 2028. The IA AML Rule requires certain registered investment
Beyond the Prospectus: Rethinking Securities in Modern Investing
Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to
The Securities and Exchange Commission (SEC) is withdrawing a number of notices of proposed rulemaking due to changes in its priorities and the evolving regulatory landscape. While the SEC initially proposed changes in various areas affecting securities and investment practices, it has determined that no final rules will be issued regarding these proposals at this
The U.S. Securities and Exchange Commission (SEC) has announced the appointment of Brian T. Daly as the new Director of the Division of Investment Management, effective July 8, 2025. Daly, a highly regarded figure in the investment management industry, brings decades of experience advising fund managers and sponsors on regulatory compliance and legal matters.
Daly’s
Authors: Mark J. Cipolletti, Brittain Shaw, Ben Sandlin
On May 12, the U.S. Department of Justice (DOJ) issued updated policy memoranda relating to the investigation and prosecution of white collar crimes, including its White-Collar Enforcement Plan, Revised Corporate Enforcement and Voluntary Self-Disclosure Policy, Memorandum on Selection of Monitors in Criminal Division
On April 16, 2025, the Securities and Exchange Commission (SEC) extended the compliance dates for the amendments to Form N-PORT. The SEC previously adopted amendments to Form N-PORT to require more frequent reporting of monthly portfolio holdings and related information, and to amend certain reporting requirements relating to entity identifiers. In the same release, the