April 16, 2026
When the SEC examination notice arrives, most RIAs do the same thing: they stop everything else and start preparing. Two weeks of pulling files, reconstructing approval trails, chasing employees for documentation that […]
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April 13, 2026
Every year the SEC publishes its enforcement results and every year most RIAs skim the headline numbers and move on. This year that’s a mistake. The FY2025 report, released April 7, 2026, […]
April 9, 2026
Most RIAs treat compliance and risk management as the same function. They sit under the same person, draw from the same budget, and show up in the same section of the firm’s […]
April 7, 2026
Ask a CCO how their compliance program is holding up and most will say fine. Ask them the same question at the end of an exam week, or after onboarding their sixth […]
April 1, 2026
There’s a version of this you’ve probably seen at least once: a client firm you’ve been working with for two years decides to get serious about marketing. They hire a content person, […]
March 23, 2026
Here’s the problem most RIAs haven’t solved yet: you built your compliance manual for one regulator. The SEC. Your regulator. The one that shows up for exams, the one you’ve spent years […]
March 19, 2026
The SEC Just Rewrote Its Enforcement Playbook for the First Time Since 2017 On February 24, 2026, the SEC’s Division of Enforcement released the first major update to its Enforcement Manual since […]
March 10, 2026
Most RIAs don’t build a compliance system. They build a practice, and compliance grows alongside it. In the early years, that works surprisingly well. A handful of advisors, a small operations team, […]
February 23, 2026
On Day 1, your new CCO walks in energized. They have a clean notebook, a clear mandate, and real ambition. They’re here to build structure. Strengthen oversight. Get ahead of risk. As […]
