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Investor in Your Fund", "url": "https://compliancebuilding.com/2025/08/21/alternative-assets-in-your-401k-or-401k-as-an-investor-in-your-fund/", "published_at": "2025-08-21T20:26:19+00:00" }, { "id": "01a0c540-fa93-708d-853d-0621b5686577", "title": "Can a Fund Manager Defer the Payment of Fees?", "url": "https://compliancebuilding.com/2025/08/20/can-a-fund-manager-defer-the-payment-of-fees/", "published_at": "2025-08-20T18:53:00+00:00" }, { "id": "01a0c540-fa93-708d-853d-0621b5fed9a7", "title": "Definitely, Not in the Best Interest", "url": "https://compliancebuilding.com/2025/08/13/definitely-not-in-the-best-interest/", "published_at": "2025-08-13T20:32:26+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97676230b", "title": "I’m Asking You For Your Hard-Earned Money", "url": "https://compliancebuilding.com/2025/07/28/im-asking-you-for-your-hard-earned-money/", "published_at": "2025-07-28T14:24:05+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e976c7f19e", "title": "Another Compliance Officer Doing Wrong", "url": "https://compliancebuilding.com/2025/07/22/another-compliance-officer-doing-wrong/", "published_at": "2025-07-22T12:00:12+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97736bbe8", "title": "FinCEN Announces Postponement and Reopening of Investment Adviser Anti-Money Laundering Rule", "url": "https://compliancebuilding.com/2025/07/21/fincen-announces-postponement-and-reopening-of-investment-adviser-anti-money-laundering-rule/", "published_at": "2025-07-21T15:22:15+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e977d41929", "title": "Once Again, It’s Not Compliant to Fake Your Compliance Documents", "url": "https://compliancebuilding.com/2025/07/16/once-again-its-not-compliant-to-fake-your-compliance-documents/", "published_at": "2025-07-16T22:07:31+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e978564418", "title": "It’s Not Compliant to Fake Your Compliance Documents", "url": "https://compliancebuilding.com/2025/07/15/its-not-compliant-to-fake-your-compliance-documents/", "published_at": "2025-07-15T19:42:23+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97927f508", "title": "Is Form PF on the Chopping Block?", "url": "https://compliancebuilding.com/2025/06/17/is-form-pf-on-the-chopping-block/", "published_at": "2025-06-17T12:00:00+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e979f971b6", "title": "De-Regulation from the SEC", "url": "https://compliancebuilding.com/2025/06/16/de-regulation-from-the-sec/", "published_at": "2025-06-16T12:00:00+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97ae95d34", "title": "FCPA Comes Back From the Dead", "url": "https://compliancebuilding.com/2025/06/12/fcpa-comes-back-from-the-dead/", "published_at": "2025-06-12T12:00:00+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97bd60509", "title": "The One with Uncertain Fees", "url": "https://compliancebuilding.com/2025/06/11/the-one-with-uncertain-fees/", "published_at": "2025-06-11T12:00:00+00:00" }, { "id": "01a0c549-bbc3-70c7-a237-41e97c20cc78", "title": "Rising Backlash at the Killing of the Corporate Transparency Act", "url": "https://compliancebuilding.com/2025/06/10/rising-backlash-at-the-killing-of-the-corporate-transparency-act/", "published_at": "2025-06-10T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf69be5c03", "title": "The Danger of Block Trading Accounts", "url": "https://compliancebuilding.com/2025/06/09/the-danger-of-block-trading-accounts/", "published_at": "2025-06-09T12:00:55+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6a958eab", "title": "SEC Report on Beneficial Ownership Concentration and Fund Outcomes for Hedge Funds", "url": "https://compliancebuilding.com/2025/06/05/sec-report-on-beneficial-ownership-concentration-and-fund-outcomes-for-hedge-funds/", "published_at": "2025-06-05T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6b020dea", "title": "The MCAs Are Crankin’", "url": "https://compliancebuilding.com/2025/06/03/the-mcas-are-crankin/", "published_at": "2025-06-03T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6ba8c78e", "title": "Safeguard of Your IRA Was Not So Safe", "url": "https://compliancebuilding.com/2025/06/02/safeguard-of-your-ira-was-not-so-safe/", "published_at": "2025-06-02T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6bdda951", "title": "The One Without an Anchor", "url": "https://compliancebuilding.com/2025/05/29/the-one-without-and-anchor/", "published_at": "2025-05-29T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6c6b07f9", "title": "Shuffling Silver at Silverback", "url": "https://compliancebuilding.com/2025/05/13/shuffling-silver-at-silverback/", "published_at": "2025-05-13T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6ca8f7ad", "title": "SEC Has a Setback on Disclosure Case", "url": "https://compliancebuilding.com/2025/05/12/sec-has-a-setback-on-disclosure-case/", "published_at": "2025-05-12T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6cc8ef77", "title": "The SEC’s New Love of Stablecoins", "url": "https://compliancebuilding.com/2025/04/15/the-secs-new-love-of-stablecoins/", "published_at": "2025-04-15T12:00:00+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6db4d149", "title": "FinCEN Broadly Reinterprets the CTA Beneficial Ownership Reporting Requirements", "url": "https://compliancebuilding.com/2025/03/24/fincen-broadly-reinterprets-the-cta-beneficial-ownership-reporting-requirements/", "published_at": "2025-03-24T14:21:24+00:00" }, { "id": "01a0c552-477c-72cc-b0c7-7aaf6e746747", "title": "The SEC Reverses its Position on Extracted Performance", "url": "https://compliancebuilding.com/2025/03/21/the-sec-reverses-its-position-on-extracted-performance/", "published_at": "2025-03-21T13:32:03+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fa02cca4", "title": "Do Investment Advisers Have a Duty to Non-clients?", "url": "https://compliancebuilding.com/2025/03/20/do-investment-advisers-have-a-duty-to-non-clients/", "published_at": "2025-03-20T12:00:00+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fae93398", "title": "Tweaking the Accredited Investor Standard", "url": "https://compliancebuilding.com/2025/03/19/tweaking-the-accredited-investor-standard/", "published_at": "2025-03-19T12:00:00+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1faecde50", "title": "The One with Concentration", "url": "https://compliancebuilding.com/2025/03/18/the-one-with-concentration/", "published_at": "2025-03-18T15:00:00+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fb4b37ab", "title": "Another Loss by the Corporate Transparency Act", "url": "https://compliancebuilding.com/2025/03/10/another-loss-by-the-corporate-transparency-act/", "published_at": "2025-03-10T12:00:00+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fc277162", "title": "The Death of the Corporate Transparency Act", "url": "https://compliancebuilding.com/2025/03/03/the-death-of-the-corporate-transparency-act/", "published_at": "2025-03-03T15:23:43+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fcb53320", "title": "Meme Coins Are Not Securities", "url": "https://compliancebuilding.com/2025/02/28/meme-coins-are-not-securities/", "published_at": "2025-02-28T16:49:58+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fd617554", "title": "Corporate Transparency Act Rollercoaster Continues", "url": "https://compliancebuilding.com/2025/02/19/corporate-transparency-act-rollercoaster-continues/", "published_at": "2025-02-19T18:25:33+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fddd7fee", "title": "Compliance and Changing Business Models", "url": "https://compliancebuilding.com/2025/02/18/compliance-and-changing-business-models/", "published_at": "2025-02-18T13:00:00+00:00" }, { "id": "01a0c55a-8eb8-707e-bafb-bfc1fe7ac691", "title": "The Death of the Foreign Corrupt Practices Act", "url": "https://compliancebuilding.com/2025/02/11/the-death-of-the-foreign-corrupt-practices-act/", "published_at": "2025-02-11T22:10:55+00:00" } ] posts Claim your blog

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2026

Cancel-Rebill and Screw Your Clients original ↗

24 Sept 2026

New Risk Alert on Investment Adviser Annual Compliance Reviews original ↗

15 Sept 2026

When Compliance Says “Do It”, But the Firm Doesn’t original ↗

14 Sept 2026

Extending Compliance Dates for Form PF original ↗

10 Sept 2026

The Massive Scope of Digital Asset Investment Scams original ↗

9 Sept 2026

SEC Proposes Rescission of Political Contribution Rule for Investment Advisers original ↗

8 Sept 2026

Is Failure to Disclose Misappropriation Committing Securities Fraud?original ↗

3 Sept 2026

SEC Sweep of Fake Form ADV Filers original ↗

31 Aug 2026

New Custody Rule Is On Its Way original ↗

28 Aug 2026

Can a Farm of Hardwood and Citrus Trees be a Security?original ↗

14 Aug 2026

The Corporate Transparency Act is Finally Dead original ↗

13 Aug 2026

The SEC 2026 Rulemaking Agenda original ↗

24 Jul 2026

The Alignment Gap: Rethinking Costs in Private Equity Fund Formation original ↗

23 Jul 2026

PERE 100 and SEC Registration original ↗

1 Jun 2026

Neither Admit Nor Deny To Be No Longer original ↗

14 May 2026

What Will Form PF Look Like Next Year?original ↗

13 May 2026

Is It a Chipset or Is It a Security?original ↗

12 May 2026

When the Lawyer Is Breaking Bad original ↗

8 May 2026

Will Investors Have an Appetite for Semi-Annual Reporting?original ↗

6 May 2026

Special Forces Trading on Insider Knowledge original ↗

5 May 2026

Prediction Markets and Compliance Programs original ↗

4 May 2026

The One with the Line That Goes Straight Up and Right original ↗

1 May 2026

The One with the Crypto Paying for a Mega-Shilling Package original ↗

22 Apr 2026

The Performance of the SEC in 2025 original ↗

14 Apr 2026

More on the Downsizing of the SEC original ↗

13 Apr 2026

SEC Enforcement Results for FY 2025 original ↗

9 Apr 2026

Proposed Fundamental Reforms to AML Programs original ↗

8 Apr 2026

Is It a Truck or a Security?original ↗

7 Apr 2026

The One with Low IQ from Pet IQ original ↗

6 Apr 2026

The Downsizing of the SEC original ↗

2 Apr 2026

When “Today” Is Not all of “Today”original ↗

1 Apr 2026

Compliance Bricks and Mortar for March 27 original ↗

27 Mar 2026

The One Where Theory Meets Reality original ↗

25 Mar 2026

When the COVID Pandemic Hits Your Valuation original ↗

10 Mar 2026

SEC’s Private Markets Roundtable original ↗

4 Mar 2026

FINRA Raising Gift Limit original ↗

3 Mar 2026

Residential Real Estate Reporting Has Begun original ↗

2 Mar 2026

BlueSky Eagle and the Ghost Filing original ↗

26 Feb 2026

Updates to the SEC Enforcement Manual original ↗

25 Feb 2026

When Drug Lords Want Their Kids to Be Better Athletes original ↗

24 Feb 2026

Insider Trading Before Bankruptcy original ↗

23 Feb 2026

Relief for ’40 Act Funds original ↗

20 Feb 2026

Artificial Intelligence Produced Materials are Not Protected by Privilege original ↗

19 Feb 2026

FINRA Looks to Allow Projected Performance original ↗

18 Feb 2026

California’s Fair Investment Practices by Venture Capital Companies original ↗

2 Feb 2026

Compliance Bricks and Mortar for January 30 original ↗

30 Jan 2026

Interpreter Insider Trading original ↗

29 Jan 2026

Things not to put in Advisory Contracts – Hedges original ↗

28 Jan 2026

Weekend Reading: Bad Company original ↗

24 Jan 2026

Things to Not Put in an Advisory Agreement – Assignment Rights original ↗

22 Jan 2026

Congressional Stock Trading and Private Insider Trading original ↗

21 Jan 2026

Model Fees Versus Actual Fees in Marketing original ↗

20 Jan 2026

Compliance Bricks and Mortar for January 16 original ↗

16 Jan 2026

Staff Report on Capital-Raising Dynamics original ↗

13 Jan 2026

Compliance Bricks and Mortar for January 9 original ↗

9 Jan 2026

“Small”: I Don’t Think You Know What That Means original ↗

8 Jan 2026

CFTC is Saying Goodbye to Private Funds original ↗

7 Jan 2026

New York’s LLC Transparency Act Will Remain Limited original ↗

6 Jan 2026

SEC and CFTC With Only Republicans original ↗

5 Jan 2026

Compliance Books from 2025 original ↗

3 Jan 2026

Happy New Year original ↗

1 Jan 2026

2025

The One That Can Drive You and Give You Investment Advice original ↗

10 Dec 2025

The One with the Foreclosure and OFAC Sanctions original ↗

1 Dec 2025

Can Precious Gem Buying Being Securities Fraud?original ↗

21 Nov 2025

The SEC Is Back original ↗

14 Nov 2025

Another Extension for Changes to Form PF Compliance original ↗

17 Sept 2025

Changing the Quant Model for a Bigger Bonus original ↗

15 Sept 2025

All Investment Advisers Have Conflicts of Interest original ↗

9 Sept 2025

Alternative Assets in Your 401k, or 401k as an Investor in Your Fund original ↗

21 Aug 2025

Can a Fund Manager Defer the Payment of Fees?original ↗

20 Aug 2025

Definitely, Not in the Best Interest original ↗

13 Aug 2025

I’m Asking You For Your Hard-Earned Money original ↗

28 Jul 2025

Another Compliance Officer Doing Wrong original ↗

22 Jul 2025

FinCEN Announces Postponement and Reopening of Investment Adviser Anti-Money Laundering Rule original ↗

21 Jul 2025

Once Again, It’s Not Compliant to Fake Your Compliance Documents original ↗

16 Jul 2025

It’s Not Compliant to Fake Your Compliance Documents original ↗

15 Jul 2025

Is Form PF on the Chopping Block?original ↗

17 Jun 2025

De-Regulation from the SEC original ↗

16 Jun 2025

FCPA Comes Back From the Dead original ↗

12 Jun 2025

The One with Uncertain Fees original ↗

11 Jun 2025

Rising Backlash at the Killing of the Corporate Transparency Act original ↗

10 Jun 2025

The Danger of Block Trading Accounts original ↗

9 Jun 2025

SEC Report on Beneficial Ownership Concentration and Fund Outcomes for Hedge Funds original ↗

5 Jun 2025

The MCAs Are Crankin’original ↗

3 Jun 2025

Safeguard of Your IRA Was Not So Safe original ↗

2 Jun 2025

The One Without an Anchor original ↗

29 May 2025

Shuffling Silver at Silverback original ↗

13 May 2025

SEC Has a Setback on Disclosure Case original ↗

12 May 2025

The SEC’s New Love of Stablecoins original ↗

15 Apr 2025

FinCEN Broadly Reinterprets the CTA Beneficial Ownership Reporting Requirements original ↗

24 Mar 2025

The SEC Reverses its Position on Extracted Performance original ↗

21 Mar 2025

Do Investment Advisers Have a Duty to Non-clients?original ↗

20 Mar 2025

Tweaking the Accredited Investor Standard original ↗

19 Mar 2025

The One with Concentration original ↗

18 Mar 2025

Another Loss by the Corporate Transparency Act original ↗

10 Mar 2025

The Death of the Corporate Transparency Act original ↗

3 Mar 2025

Meme Coins Are Not Securities original ↗

28 Feb 2025

Corporate Transparency Act Rollercoaster Continues original ↗

19 Feb 2025

Compliance and Changing Business Models original ↗

18 Feb 2025

The Death of the Foreign Corrupt Practices Act original ↗

11 Feb 2025