New guidance clarifies compliance requirements for investment advisers under the SEC’s Marketing Rule, impacting real estate investment strategies.
Tag: SEC
The Shifting Sands of Regulatory Compliance in 2025
From FinCEN’s new AML rule to evolving electronic communications challenges, regulatory compliance is undergoing significant changes in 2025.
US Regulators Scrutinize Off-Channel Messaging Compliance
Financial firms face increased regulatory focus on monitoring and archiving employee communications on unauthorized platforms like WhatsApp.