The Cost of Non-Compliance: Lessons from SEC Enforcement Actions

Introduction: Why Compliance Matters   Since the first stock market launch back in 1602, financial markets have always walked a fine line between ambition and oversight. History shows that whenever regulations lag behind innovation, things tend to spiral: from wild speculative bubbles to full-blown financial meltdowns. It’s no surprise that wherever there’s (big) money, mischief […]

Managing Conflicts of Interest in Your RIA Firm

Introduction: The Foundation of Trust   Conflicts of interest are the silent disruptors of trust in Registered Investment Advisor (RIA) firms. Beyond regulatory mandates, managing these conflicts effectively is about demonstrating a commitment to client-first principles. Whether it’s navigating compensation structures, relationships with third parties, or everyday client interactions, the stakes are high: mishandling conflicts […]

Top 5 Compliance Priorities for CCOs in 2025

It starts with an email. You’re at your desk, mid-coffee sip, when it lands: “Urgent: Regulatory Breach Detected.” Your brain races. Was it a missed policy update? A vendor screw-up? Something lurking in those audit reports you skimmed? Whatever the reason, two things are certain: it’s going to cost money, and it’s going to cost […]

Compliance Challenges
The Top 5 Compliance Challenges RIAs Face

Picture a ship navigating stormy seas. The waves are SEC regulations, crashing unpredictably. Hidden beneath the surface are cyber threats and conflicts of interest, ready to upend everything. The RIA is the captain, balancing trust and scrutiny, steering carefully while keeping meticulous logs to prove their every move. There’s more to compliance than just following […]

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