The SEC regulatory landscape
The US regulatory landscape continues to develop at pace, driven by changes in political leadership. In keeping with the Trump administrations’ deregulation agenda, the expectation is that there will be a shift in the SEC’s priorities to more traditional areas of focus, such as the protection of retail investors. There is also hope that the SEC will move away from what some have characterised as an “enforcement-first” approach to a model where enforcement powers are used as a last resort.
However, the regulator’s stated examination priorities include a focus on investment adviser adherence to rules requiring a duty of care and loyalty owed to clients, the effectiveness of adviser compliance programs, private fund advisers, newly registered advisers, information security and emerging financial technologies (including crypto related services). New rules concerning adviser AML/CFT programs also come into effect in 2026, such that we expect this to be an important area of focus for many firms in the coming years.
Given the above, it is more important than ever that SEC regulated firms, including those in the hedge fund and private equity space, remain on top of their obligations.
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Wholesale Investment Firms
Our large team of wholesale industry experts work with clients including hedge fund managers, private markets firms, brokers and corporate finance firms.
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Capital Markets
Our Capital Markets team use their experienced regulatory knowledge to help asset managers and broker dealers with a full service offering over a large spectrum of regulatory issues.
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Wealth Management
Cosegic’s experienced Wealth Management team can help you interpret the regulations, using our in-depth knowledge to simplify complex regulations.
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