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Daily Archives: February 12, 2025

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  2. 2025
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  4. 12
February 12, 2025
  • Patrick Hunt
  • Compliance
From Fines to Efficiency: How RIAs Are Winning with Compliance Automation in 2025

Introduction: Why Manual Compliance is a Risky Game   Compliance officers might be getting chills, as it’s only the beginning of the year and the SEC has already gotten the party started, handing out millions in fines to investment firms for compliance failures. Some as simple as poor record-keeping or using unauthorized messaging apps. In […]

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