Insights & Resources

AI is revolutionizing industries, but misleading claims are rampant. Learn how the SEC combats AI washing and the importance of transparency for investment advisers.

If FinCEN’s proposed rule is adopted, SEC Registered Investment Advisers and Exempt Reporting Advisers would be subject to FinCEN’s AML and CFT requirements.

The SEC staff report may lead to a revised definition which could create challenges for private funds’ investor qualification procedures and compliance program.

The SEC’s 2024 examination priorities which will focus on key risks for private funds and exam priorities for the upcoming year.

HIPAA’s requirements apply to more than doctors and hospitals. Protect your business and clients by learning about key requirements including who needs to comply.

Non-medical businesses may be surprised that they are subject to HIPAA because they have clients handling ePHI.

The SEC has made the first material change in beneficial owner reporting in almost 50 years with updates to Regulation 13D-G.

The SEC adopted a final rule under the Investment Advisers Act of 1940 that will greatly increase the accounting and audit requirements for private fund advisors.

As of July 11, 2023, personal data transferred between the EU and U.S. is protected by legal obligations under the EU-US Data Privacy Framework adequacy decision.

Iowa becomes the latest state to pass a consumer data protection law which takes effect on January 1, 2025. Find out how your organization will be affected.

The data inventory implementation process helps reduce the risks that arise from data collection, including the over-collection & collection of inaccurate data.

The SEC announced proposed rules to broaden the application of the current investment adviser custody rule beyond client funds and securities.