Insights & Resources

Weaver’s overview of the SEC’s 2025 examination priorities describe practices by investment advisers and others that may come under SEC review.

The initial enthusiasm for ESG in financial services was met with increased scrutiny, but the underlying ESG principles continue to hold sway.

AI is revolutionizing industries, but misleading claims are rampant. Learn how the SEC combats AI washing and the importance of transparency for investment advisers.

If FinCEN’s proposed rule is adopted, SEC Registered Investment Advisers and Exempt Reporting Advisers would be subject to FinCEN’s AML and CFT requirements.

The SEC staff report may lead to a revised definition which could create challenges for private funds’ investor qualification procedures and compliance program.

The SEC’s 2024 examination priorities which will focus on key risks for private funds and exam priorities for the upcoming year.

The SEC has made the first material change in beneficial owner reporting in almost 50 years with updates to Regulation 13D-G.

The SEC adopted a final rule under the Investment Advisers Act of 1940 that will greatly increase the accounting and audit requirements for private fund advisors.

The SEC announced proposed rules to broaden the application of the current investment adviser custody rule beyond client funds and securities.

The SEC recently announced that, in its fiscal year 2022, 760 enforcement actions were filed resulting in a record $6.4 billion in money ordered from SEC actions.

Updates to Form PF were designed to assess systemic risk and bolster regulatory oversight in the growing hedge fund industry. Find out more.

The SEC proposed new regulations to establish disclosure requirements for funds and advisers that market themselves as having an ESG focus.