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 […]
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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 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, […]
September 30, 2025
Every year, the Kitces Report offers a rare, data-backed glimpse into what independent advisors are really using—and loving—inside their technology stacks. The 2025 edition is no exception. From financial planning platforms to […]
September 29, 2025
I’ve sat across from compliance officers who can recite filing deadlines in their sleep but still lose hours hunting through email chains for a missing acknowledgment. I’ve seen consultants juggle five clients’ […]
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 […]
