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Policy Newsletter - July 2026

Not all boats rise with the AI IPO tide
Plus, the SEC goes digital, and the Senate loses a giant.
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Policy Newsletter - July 2026

SEC 2026 agenda signals regulatory relief for private fund advisers, continued focus on capital formation
Plus, SCOTUS strips agency independence.
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Policy - July 2026

FinCEN’s AML rule for investment advisers: What asset managers need to know
The FCA is intensifying its focus on AML and KYC compliance in private markets. Read Carta’s guide to managing risk and aligning policies with its “Dear CEO” letter.
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Policy - July 2026

FCA’s “Dear CEO” letter signals greater scrutiny on AML and KYC compliance
The FCA is intensifying its focus on AML and KYC compliance in private markets. Read Carta’s guide to managing risk and aligning policies with its “Dear CEO” letter.
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Policy Newsletter - June 2026

Continuation vehicles in the crosshairs
Plus, Washington starts drawing AI’s new perimeter.
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Policy Newsletter - June 2026

Policymakers debate future of prediction markets, crypto, and frontier AI
Plus, Peirce’s parting wisdom on the future of SEC regulation, and Carta Policy participates in U.S. Chamber’s Capital Markets Summit: The Future of American Capital.
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Policy Newsletter - May 2026

SEC issues relief to expand retail exposure to private capital; examines IPO frictions
SEC issues relief to open-end funds, expanding private market access. Meanwhile, frontier AI labs partner with PE firms, forming rival joint ventures that accelerate enterprise adoption of its tools.
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Policy Newsletter - April 2026

SEC increasing scrutiny on private credit—valuation is the key
SEC escalates private credit scrutiny, Carta pursues 401(k) equity reform, AI preemption stalls, and data privacy bill advances—plus prediction market insider trading enforcement.
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Policy Newsletter - April 2026

Carta hits the Hill to expand retirement options for employees
Carta meets with top regulators on the Hill to advocate for equity-based 401(k) contributions. In addition, the SEC and CFTC propose Form PF changes as private credit faces new scrutiny.
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Policy Newsletter - April 2026

AI is shaping the policy landscape, but is less unified than expected
AI policy accelerates in Washington, meanwhile, Congress reauthorizes SBIR/STTR programs. Plus, new tentative stablecoin deals and the INVEST Act aim to modernize capital formation and digital asset regulation for the innovation ecosystem.
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Policy - March 2026

2026 Policy Outlook: Implications for private equity
Private equity's policy environment just shifted in your favor. The INVEST Act, SEC reforms, and retail access are expanding opportunities—but also regulatory scrutiny. Here's what 2026 holds for PE firms.
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Policy Newsletter - March 2026

DOL moves to democratize access to alts in 401(k)s
New DOL proposal clarifies private market access to 401(k)s, providing fiduciaries a process-based safe harbor for alternatives. Meanwhile, states contemplate QSBS decoupling and court rulings increase liability for Big Tech platform design harms.
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