Regulatory & Compliance
Regulatory & Compliance
SEC, FINRA, ERISA, and fiduciary standards that govern institutional investment management — and how to stay compliant.
All Regulatory & Compliance Guides
ERISA Compliance for Pension Fund Managers
ERISA sets the rules for how pension funds must be managed, invested, and reported. Here's what plan fiduciaries need to know to stay compliant and avoid liability.
June 10, 2026
SEC Registration Requirements for Investment Advisers
When must an investment adviser register with the SEC vs. state regulators? AUM thresholds, exemptions, Form ADV requirements, and ongoing compliance obligations.
June 9, 2026
Fiduciary Duty: What It Means for Institutional Investors
The fiduciary standard requires institutional investors to act in the best interest of beneficiaries. Here's what that means in practice — and the legal consequences of breaching it.
June 8, 2026