September 24, 2025
A new webinar from the SEC is a warning shot. It is not a courtesy invitation. On September 25th, the SEC will host a special webinar for large firms focused entirely on […]
September 19, 2025
The SEC recently fined Massachusetts-based investment adviser Meridian Financial $75,000 for a single sentence on their website. That’s not a typo. One line of marketing copy was enough to trigger a high-visibility […]
September 16, 2025
Earlier this month, NASAA (the North American Securities Administrators Association) released its 2025 annual report on state-registered investment advisers. And for smaller RIAs still assuming regulators are focused elsewhere, it should be […]
September 12, 2025
After a decade in compliance, you start to notice the same rhythms: quarter-end scrambles, brokerage feeds that don’t quite connect, the email from someone insisting they already submitted their attestation. But you […]
August 27, 2025
Introduction Zoom in to August 2024: the SEC fines a New York adviser $1.25 million after examiners uncover pervasive “off-channel” business texts that were never retained. The order reads like a cautionary […]
July 21, 2025
Policies: Paperwork or Protection? As Bob Dylan wrote, “You don’t need a weatherman to know which way the wind blows.” You do, however, need a policy management system to prove your team […]
February 20, 2025
From handshake deals to compliance marathons: How RIAs navigate today’s regulatory landscape In the early days of financial advice, relationships ruled the game. A handshake and a reputation were often enough to […]
February 12, 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, […]
February 5, 2025
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 […]
