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 […]
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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 behind […]
June 27, 2024
The SEC has announced adoption of amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information. The goal is to protect individuals from harm when their personal information is […]
June 27, 2024
Post contributions from Ara Jabrayan On April 17, 2024, the SEC provided Registered Investment Advisers (RIAs) with observations regarding firms’ compliance with the Marketing Rule. According to the announcement from the SEC’s […]
December 2, 2021
Gurbir Grewal, the new director of the Division of Enforcement for the SEC, signaled several potential changes in the SEC’s enforcement priorities under his new leadership. His division would “recommend aggressive use” […]
