Regulatory Round Up - January 2025

Stay ahead of industry requirements and regulatory updates with this month’s insights. Here’s a preview of what you’ll find in our latest newsletter:

• ADV Annual Amendment: The annual amendment filing is a top priority this month…and quarter. Learn what updates your firm needs attention on in order to comply with the filing deadline.
• 2024 SEC Enforcement Recap: Reflect on notable enforcement actions from the past year and take note for the upcoming year!
• 13F-2 Filing Insights: Prepare for the SEC’s new reporting requirements under Rule 13f-2, effective this year, and what they mean for firms.
• 2025 Compliance Trail Guide: Discover the proactive approach to compliance with our 2025 roadmap.

This month’s newsletter also features:

• CCO tips from a former Chief Compliance Officer
• Key takeaways from SEC FAQs on Form ADV amendments 
• A January task list to keep your compliance program on track

Don't miss these critical updates - reach out to access the full newsletter or subscribe today. Let's tackle 2025 with confidence!