From Paper Trails to Data Traces: How the SEC’s Latest Reports Signal a New Era of Oversight

In the early 2000s, SEC exams often meant dusting off physical binders and hunting through emails for attestations. A good compliance officer knew the art of printing PDFs and organizing labeled folders. But that era is over. With its latest release of three granular, data-heavy reports, the SEC isn’t suggesting that firms modernize. It’s modeling […]

Your Company in the Right Headlines: How Smart Compliance Can Keep You Off the SEC’s Radar in 2025

You can’t outsource accountability—the words of Gurbir Grewal, SEC’s Director of Enforcement, landed like a drumbeat. What your firm says, builds, shares, or automates—if it reaches a client or touches decision-making—it’s yours to own. There’s no way around it. That same year, regulators issued over $5 billion in penalties. These weren’t edge cases. Most stemmed […]