Advocacy Updates

Government Shutdown’s Impact on the SEC, IRS and Treasury

Federal financial enforcement and regulatory agencies say to expect delays following the government shutdown.

Misallocation of Fees Subject of Recent SEC Enforcement Actions

Why it's important for investment advisers to be cautious when allocating expenses to a fund without clear disclosure.

SEC’s Use of In-House Administrative Law Judges Challenged

A private equity adviser questioned the practice, which could make other SEC enforcement actions eligible for a rehearing.

False Claims Lead CCO to Trouble with SEC

This enforcement action is a good reminder for chief compliance officers to make sure information is accurate on Form ADV filings.

Webinar to Focus on Opportunity Zones

Opportunity Zones were designed to steer dollars towards traditionally underserved communities. To learn more, register for the upcoming ACG-Wipfli webinar.