Regulatory Compliance Watch | The leading compliance directory

Elevated view of students writing their GCSE exam

DOE’s FY ’27 priorities: Examiners promise compliance scrutiny

October 23 2026

Anxious Teenage Student Sitting Examination In School Hall

DOE's FY 2027 Exam Priorities

October 23 2026

Close up hands giving money bribe payment. Hands holding dollar bill bribery financial economy business people. Business people corrupt illegal settlements try to pay graft. Corruption bribe concept

Proposal would expand performance comp

October 23 2026

LATEST NEWS

DOE’s FY ’27 priorities: Examiners promise compliance scrutiny

SEC Examinations

Heather Ayers -

13 hours ago

Proposal would expand performance comp

SEC: Rulemaking

Heather Ayers -

14 hours ago

Like father like son fraudsters

Compliance Best Practices

Heather Ayers -

14 hours ago

Retailization: Come walking, go running

Compliance Best Practices

1 day ago

EU’s choice: Sustainable investing or growth

Compliance Best Practices

1 day ago

The midterms’ message to PF industry

Compliance Best Practices

1 day ago

BEST PRACTICES SPOTLIGHT

Top 10 List, business motivational inspirational quotes, words typography top view lettering concept

The top 10 RCW stories for September

Compliance Best Practices

Heather Ayers -

October 9 2026

Read more

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

9 hours ago

Woman opening the safe to put the money in it.

Adviser fined over custody violations

SEC: Enforcement 9 hours ago

Woman holds paper with message to help her in front of black background.

Treasury proposal: Prohibition on Large Institutional Investor Purchases of Single-Family Homes

Private Equity 14 hours ago

Businesspeople handshaking across the table during a meeting in modern office. Group of business persons in business meeting. Shot of three entrepreneurs on meeting in board room. Creative business team on meeting in the office.

SEC proposal: Designate CFAs as accredited investors

SEC: Rulemaking October 21 2026

WEBINARS

What LPs, regulators and top talent all watch for

September 22 2026

VIDEOS

CLE Webinars

On demand: Private funds and the SEC in Trump 2.0

Barbara Jones -

March 25 2025

INVESTMENT ADVISERS ACT

Investment Advisers Act

August 2 2024

SPEECHES

SEC IM Director Daly asks what’s ‘Responsible Retailization?’

Private Funds October 21 2026

SEC Chairman Atkins commends proposal to resume affiliated cross trades

Mutual Funds October 9 2026

SEC Commissioner Uyeda highlights CCO role in cross-trade proposal

SEC: Rulemaking October 9 2026

DOWNLOAD LATEST WEEKLY BRIEFING

RESOURCES

Click on RCW Hot Topic Links

October 1 2026

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

October 9 2026

Shortcuts to the Hottest IA Topics

October 1 2026

COMPLIANCE TOOLBOX

Anxious Teenage Student Sitting Examination In School Hall

Division of Exams' Priorities

DOE’s FY 2027 Exam Priorities

Heather Ayers -

13 hours ago

The SEC's Division of Examinations lays out its top concerns when it comes to conducting exams in FY 2027, which began in October 2026

LATEST TOOLS

DOE’s FY 2027 Exam Priorities

Division of Exams' Priorities

Heather Ayers -

13 hours ago

14 expectations DOE has for you

SEC Examinations

Heather Ayers -

October 12 2026

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

Heather Ayers -

October 1 2026

Subscribe now to gain unlimited access to our latest insights, analysis and reports

SEE SUBSCRIPTION OPTIONS

Copyright PEI Media

Not for publication, email or dissemination