Enforcement Sweep Targets Disciplinary Disclosures
The SEC’s Division of Enforcement appears to be conducting a sweep focused on whether registered investment advisers have accurately disclosed disciplinary events.
News
Recent SEC Enforcement Actions Focus on Operational Compliance, Conflicts of Interest, and the Custody Rule
Three recent SEC enforcement actions illustrate the current Commission’s continuing focus on operational compliance, conflicts of interest, and the Custody Rule.
First Regulation S-P Examinations Arrive
Key Bridge Compliance has assisted a client that received what appears to be one of the first Reg S-P focused examinations.
Key Bridge Compliance CEO Selected for Leadership Kentucky
Key Bridge Compliance CEO Matt Swendiman joins the Leadership Kentucky Class of 2026, one of 52 leaders selected for the prestigious program.
So You Want to Launch a Private Fund?
Thinking about launching a private fund? Here’s what RIAs need to know before the first investor signs a subscription document.
SEC’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
The SpaceX IPO Buzz: What RIAs Should Be Thinking About
The SpaceX IPO is coming. Here’s what RIAs need to know about allocations, ethics, marketing, and fiduciary obligations before the hype hits.
What RIAs Should Know From the 2026 Compliance Week Conference
Key Bridge shares key takeaways from the 2026 Compliance Week Conference on AI governance, regulatory shifts, and what they mean for RIAs.
SEC FY 2025 Enforcement Results: A Philosophical Reset
Chairman Atkins states that the Commission has “put a stop to regulation by enforcement” and recentered the program on its core mission.
SEC Issues Crypto Asset Interpretation: What Is and Is Not a Security
The SEC has issued a formal interpretation aimed at establishing a clear framework for how federal securities laws apply to crypto assets.
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