As 2019 comes to a close, it is important to think about upcoming compliance obligations for the beginning of the new year. Below are 20+ key items that Silver recommends compliance teams focus on in 2020:
The SEC’s latest changes to Regulation S-P mark a clear shift away from policy-driven compliance toward operational accountability.
Generative AI has expanded the compliance surface for investment advisers in ways most firms have not yet mapped. Combined with the amended Reg S-P and its June 3, 2026 deadline for smaller advisers, the result is a single examination focus. This article outlines what an audit-ready program looks like and where the common gaps appear.
Momentum around crypto regulation is building — but legislation is not. As Senate progress stalls, this edition of The Crypto Current examines the structural, political, and policy barriers delaying market structure reform and the implications for compliance frameworks across the industry.
PRI’s 2026 Transparency Reporting season is fast approaching, and for many Signatories, this year’s process will look very different from prior cycles. With a significantly revised framework, fewer indicators, and new mandatory requirements, now is the time to understand what has changed before the reporting window opens on May 6 and closes on July 29.
The SEC’s amendments to Regulation S-P (Reg S-P) reflect heightened expectations for how financial firms protect customer information, respond to incidents, and oversee service providers. With tighter notification timelines and more explicit documentation requirements, the amendments serve to remind investment advisers that compliance and cybersecurity are operational priorities.
Q1 2026 has been a reminder that for private fund managers, regulatory change is not slowing down and neither are the expectations that come with it. In the upcoming edition of Silver’s Regulatory Recap, we are focusing on several developments that we believe are especially important to have on your radar right now.
