December 1, 2025
A Shift Toward Operational Scrutiny The U.S. Securities and Exchange Commission (SEC) has released its 2026 examination priorities. While core topics like fiduciary duty and data privacy remain, the message this year […]
November 21, 2025
A 7-Point Guide to Getting Ahead, Before the SEC Knocks SEC cybersecurity examinations are no longer about what’s on paper. They’re about what’s operational, what controls are real, how they behave under […]
November 14, 2025
Featuring insights from Smartria CEO Patrick Hunt The SEC’s amended Regulation S-P, effective December 3, 2025 for large firms, is more than a compliance update; it’s a structural directive. The rule demands […]
November 11, 2025
Digital Deception Has Gone Pro and Compliance Can’t Stay Static Scammers are no longer relying on crude phishing tactics or typo-riddled emails. According to the North American Securities Administrators Association (NASAA), the […]
November 5, 2025
Why December 2025 Can’t Wait for Reg S-P Compliance Large advisers have until December 3, 2025, to implement comprehensive changes under the amended Regulation S-P, but treating this as a distant deadline […]
October 31, 2025
Reframing the Regulatory Landscape: SEC’s 2024 AI Compliance Plan In 2024, the SEC didn’t simply react to AI. It redefined how governance itself should be structured. The AI Compliance Plan marked a […]
October 23, 2025
Why Vendor Oversight Is No Longer Optional Five years ago, “vendor due diligence” meant checking a few boxes once a year. In 2025, it’s one of the top five exam priorities across […]
October 9, 2025
Most people think government shutdowns are about politics. But if you’re the person responsible for making sure your firm stays compliant, audit-ready, and operationally sound, a government shutdown is something very different. […]
October 8, 2025
The Real Risk of Informal Review (And Why It’s Still Everywhere) Most RIAs are still handling advertising and marketing review the same way they did before the SEC’s Marketing Rule changed everything, […]
