Regulatory Round Up - May 2025

As we ride into the heart of 2025, the trails are getting busier — and a well-oversighted investment strategy can make all the difference between a smooth journey and a wild stampede.

This Month’s Trail Markers:

• Portfolio Management & Investment Oversight: A strong portfolio ain’t something you set and forget. This month, we’re sharing ways to tighten your investment oversight and keep your strategies sharp — no matter which way the winds blow.
• New Cowpoke Joining the Herd: We’re mighty proud to welcome a new teammate to True West! More hands make for lighter work — and better service for all our partners on the trail. Keep an eye out for an introduction!
• SEC vs. Cutter Case: The Cutter case sends a clear signal: disclosure is good, but real clarity wins the day. We’ll share a quick breakdown of the takeaways for RIAs — and how to steer clear of trouble on your compliance journey.
• SEC News Insights:  The regulatory posse continues to ride fast. This month, we’re sharing key updates on SEC priorities — from oversight expectations to conflict-of-interest crackdowns.
• True West Tech Corner: The Tech Team's been hard at work hammerin’ out new updates to our systems — making it even easier for you to track, document, and report with confidence.