Regulatory Round Up - November 2024

As we approach the end of 2024, it’s essential for RIAs and compliance professionals to stay on top of key regulatory developments. Our November newsletter dives into important updates, providing actionable insights to prepare your firm for upcoming regulatory priorities.

Highlights This Month:

• November Focus: With filing deadlines and compliance requirements approaching, this section covers what you need to prioritize to close out the year smoothly.
• 2025 SEC Exam Priorities: A heads-up on what the SEC will be focusing on in the coming year’s exams. This information is crucial for proactive preparation and aligning your firm’s compliance program with SEC expectations.

Additionally, our newsletter discusses the SEC’s 13F filing obligations and the latest in Anti-Money Laundering (AML) practices to help you manage compliance effectively within your team.

For the full insights, reach out to us or subscribe to our newsletter! We’re here to help you navigate compliance with confidence.