» The Next Frontier in Sports: Legal Ramifications of Biometric Data and Virtual Reality Innovation
30/09/25 17:46 from Privacy Law Blog
The rapid expansion of biometric technologies in sports has created both significant opportunities and complex legal challenges. The proliferation of wearable devices and data collection tools has ushered in what amounts to a “gold rush”...

» The Washington Supreme Court Helps Us Count to Five
30/09/25 03:58 from Ziff Blog
First of all: Hi. It’s been a while. I’m trying to get in the habit of posting my random musings here instead of in Bluesky threads. But you can still find me there! Anyway, an interesting set of opinions from … Continu...

» Another Extension for Changes to Form PF Compliance
17/09/25 21:28 from Compliance Building
On September 17, the Securities and Exchange Commission and the Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF to Oct. 1, 2026. The Form PF amendmen...

» Changing the Quant Model for a Bigger Bonus
15/09/25 21:35 from Compliance Building
You create a useful trading model. Get the firm to start using it, then tweak it so you get more compensation. Sounds like a good way to get rich… and to get in trouble. Jian Wu is finding out. The Department of Justice filed wire ...

» All Investment Advisers Have Conflicts of Interest
09/09/25 20:19 from Compliance Building
An investment adviser always has a conflict of interest. An adviser should never say there are no conflicts.You take money from your client for fees. ConflictYou get paid differently depending on the client asset. ConflictYou get paid di...

» Alternative Assets in Your 401k, or 401k as an Investor in Your Fund
21/08/25 20:26 from Compliance Building
On August 7, 2025, President Trump issued an executive order titled “Democratizing Access to Alternative Assets for 401(k) Investors.” The order asks the relevant federal agencies to clarify the obligations of Employee Retirement Income ...

» Can a Fund Manager Defer the Payment of Fees?
20/08/25 18:53 from Compliance Building
Sure. Why not? Help with cash flow and liquidity. Can you charge interest on the deferred fees? Probably not. If the fund documents explicitly allow for interest to accrue on the deferred fees, then sure. I’m not sure I’ve se...

» Definitely, Not in the Best Interest
13/08/25 20:32 from Compliance Building
Before and after Regulation BI, broker-dealers get suitability questionnaires from their clients. Knowing your clients’ risk tolerance, liquidity needs, investment goals, and investment experience are keys to giving good investment...

» I’m Asking You For Your Hard-Earned Money
28/07/25 14:24 from Compliance Building
Compliance Building is a free resource. I publish for me, and share with you, to help the compliance profession. Now I need some of your hard-earned money. https://egifts.pmc.org/PMC/DC0176 I should point out that the money is not for me...

» Another Compliance Officer Doing Wrong
22/07/25 12:00 from Compliance Building
I’m not a big fan of these SEC cases involving compliance officers. But if the compliance officer is conducting misdeeds, he or she is going to be subject to discipline. It’s not like the compliance officer was doing complian...