Regulatory Compliance Watch | The leading compliance directory

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Compliance lesson: Amend contracts

November 6 2026

A decision awaits on ERISA fiduciaries

November 6 2026

Big businessman and small businessman watch each other - unequal competition concept

SEC final rule: Amending the definition of small business and organizations

November 6 2026

FTC claims W after playground bust-up

Compliance Best Practices

Bill Myers -

11 hours ago

PFs’ lobbying trajectory

Pay-to-Play

Bill Myers -

November 9 2026

Compliance lesson: Amend contracts

SEC: Enforcement

Heather Ayers -

November 6 2026

A decision awaits on ERISA fiduciaries

Employee Retirement Income Security Act (ERISA)

Heather Ayers -

November 6 2026

Part 1 of a 2-part series: Tips to improve accuracy of PF valuations

Private Funds

Heather Ayers -

November 5 2026

New rule: Revised small entity definition

SEC: Rulemaking

Heather Ayers -

November 5 2026

BEST PRACTICES SPOTLIGHT

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The top 10 RCW stories for October

Compliance Best Practices

Heather Ayers -

November 2 2026

Check out what attracted your peers in our top editorial content for October

Latest Regulatory Actions

RCW Staff -

November 6 2026

SEC final rule: Amending the definition of small business and organizations

SEC: Rulemaking November 6 2026

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Dual-registrant fined $600k for failing to monitor unsuitable leveraged ETFs

SEC: Enforcement November 5 2026

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Hedge clause, revenue sharing, conflicts add up to $364k fine for...

SEC Actions October 30 2026

WEBINARS

What LPs, regulators and top talent all watch for

olgam -

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

RCW Staff -

August 2 2024

SPEECHES

SEC Chairman Atkins reminds that AI brings responsibilities

AI 19 hours ago

SEC Commissioner Uyeda talks AI and data reporting to the SEC

AI 19 hours ago

SEC Enforcement Director Woodcock lays out his vision

SEC: Enforcement 19 hours ago

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Click on RCW Hot Topic Links

RCW Staff -

November 2 2026

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

RCW Staff -

November 2 2026

Shortcuts to the Hottest IA Topics

RCW Staff -

November 1 2026

COMPLIANCE TOOLBOX

Compliance Policies & Procedures

P&P for sharing client information with third parties

Heather Ayers -

November 2 2026

A peer shares the firm's policy and procedure for sharing client data with outside parties

LATEST TOOLS

P&P for sharing client information with third parties

Compliance Policies & Procedures

Heather Ayers -

November 2 2026

DOE’s FY 2027 Exam Priorities

Division of Exams' Priorities

Heather Ayers -

October 23 2026

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

Heather Ayers -

October 1 2026

Nearly there!

LATEST NEWS

FTC claims W after playground bust-up

PFs’ lobbying trajectory

Compliance lesson: Amend contracts

A decision awaits on ERISA fiduciaries

Part 1 of a 2-part series: Tips to improve accuracy of PF valuations

New rule: Revised small entity definition

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for October

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

SEC final rule: Amending the definition of small business and organizations

Dual-registrant fined $600k for failing to monitor unsuitable leveraged ETFs

Hedge clause, revenue sharing, conflicts add up to $364k fine for...

WEBINARS

What LPs, regulators and top talent all watch for

VIDEOS

On demand: Private funds and the SEC in Trump 2.0

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Chairman Atkins reminds that AI brings responsibilities

SEC Commissioner Uyeda talks AI and data reporting to the SEC

SEC Enforcement Director Woodcock lays out his vision

DOWNLOAD LATEST WEEKLY BRIEFING

RESOURCES

Click on RCW Hot Topic Links

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

Shortcuts to the Hottest IA Topics

COMPLIANCE TOOLBOX

P&P for sharing client information with third parties

LATEST TOOLS

P&P for sharing client information with third parties

DOE’s FY 2027 Exam Priorities

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

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Nearly there!

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BEST PRACTICES SPOTLIGHT

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