A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.

US SEC's Paul Atkins lays out a cryptocurrency taxonomy framework.

For firms balancing innovation with fiduciary duty, this is a timely opportunity to strengthen custody oversight, re-evaluate service providers, and prepare for future regulatory developments.

The long-awaited draft bill hands the CFTC the biggest role in overseeing digital assets, marking a major step in clarifying who polices crypto and how.

Reported charges included selling pre-IPO shares the defendants did not possess, undisclosed fees, and mixing investor funds.

Voluntarily adoption of semi-annual financial reporting (SAR) as part of a multi-year pilot is inline with SEC Chair Atkins supporting a shift from quarterly reporting.

Compliance structures built over decades are coming under pressure as the federal shutdown enters its second month.

The agency is entering an era of “simpler rules but stricter focus," a panelist told the audience at this year's NSCP annual meeting.