Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Category Archives: Standard of Care

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on SEC, CFTC, Crypto and more from FiSolve

August 15, 2025 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s August 15th weekly financial and regulatory news updates:

SEC Obtains Judgment Against PCAOB Firm and its Managing Partner in Financial Fraud Case
SEC Settles Case with Broker in Options Spoofing Case
Federal Court Orders New York Man to Pay Over $3.4 Million For Forex Fraud Scheme Following CFTC Summary Judgment Ruling
South Korean Crypto Entrepreneur Pleads Guilty in $40 Billion Crypto Collapse
SEC Launches New Statistics and Data Visualizations Webpage

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Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on the SEC, Executive Order on Retirement Plans, FCA, EFRAG and more from FiSolve

August 9, 2025 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s August 8th weekly financial and regulatory news updates:

SEC Charges Colorado-Based Investment Adviser with Reg M Trading Violations
Executive Order to Facilitate Investment by Retirement Plans in a Wider Range of Assets
Defense Contractor and Private Equity Firm Agree to Pay $1.75M to Resolve False Claims Act Liability Relating to Voluntary Self-Disclosure of Cybersecurity Violations
SEC’s Division of Corporation Finance Issues Staff Statement on Liquid Staking Activities
EFRAG Publishes Amended ESRS Exposure Drafts

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Compliance, Enforcement, Regulatory, Standard of Care

Updates on DiFi, Crypto and more from FiSolve

August 1, 2025 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s August 1st weekly financial and regulatory news updates:

SEC Permits In-Kind Creations and Redemptions for Crypto ETPs
FINRA Enlists Outside Experts to Evaluate its Enforcement Program
NFA Orders Introducing Broker to Withdraw from and not reapply for NFA membership
The President’s Working Group on Digital Asset Markets Releases Recommendations to Strengthen American Leadership in Digital Financial Technology
SEC Chairman Discusses American Leadership in the Digital Finance Revolution

Read the full update here.

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on AML, SEC, GENIUS Act, ESMA and more from FiSolve

July 25, 2025 Clifford E. Kirsch, Editor Leave a comment

FiSolve‘s July 25th weekly financial and regulatory news updates:

Treasury Announces Postponement and Reopening of Investment Adviser AML Rule
SEC Announces Roundtable on Trade-Through Prohibitions
President Trump Signs GENIUS Act into Law
Compliance Reminder: BE-180 Benchmark Survey Due July 31, 2025
ESMA Issues FAQ on Use of Performance Fees on UCITS Feeder Funds, MiCA

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Compliance, Enforcement, Regulatory, Standard of Care

New FinCEN AML Rule Brings Investment Advisers Under Bank-Like Scrutiny

July 17, 2025 Clifford E. Kirsch, Editor Leave a comment

In a landmark regulatory move, the Financial Crimes Enforcement Network (FinCEN) has finalized its long-anticipated laundering and counter-terrorism financing (AML/CFT) rule for investment advisers. Effective January 1, 2026, the rule places registered investment advisers (RIAs) and exempt reporting advisers (ERAs) under Bank Secrecy Act (BSA)-style compliance obligations–ushering in a new era of heightened monitoring and reporting expectations across the advisory space.

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Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.