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 […]
July 7, 2025
Introduction: When A Routine Release Signals Structural Change SEC data releases are rarely splashy. Written in neutral tones, stripped of commentary, and often dropped mid-week with little amplification, they’re not designed […]
May 28, 2025
The SEC’s 2024 enforcement numbers were never going to tell the whole story. Yes, the agency brought 26% fewer cases than the year before; but no one paying attention would call this […]
May 22, 2025
The most valuable signal in compliance isn’t always what’s new; it’s what keeps showing up. That’s what makes FINRA’s 2025 Oversight Report so revealing. Underneath the new headlines (third-party risks, complex annuities, […]
May 15, 2025
When a city works well, you don’t notice. You step off the curb, and a car stops. You find shade on a hot street. Trash disappears. The lights turn red, and strangers […]
May 6, 2025
When Compliance Goes Viral Remember this episode of The Office where Michael Scott declares bankruptcy by simply yelling, “I DECLARE BANKRUPTCY!” into the room? He’s dead serious. And dead wrong. Because […]
March 26, 2025
If you want to understand where compliance is headed, follow the crowd to Washington, D.C. – or more specifically, to the IAA Compliance Conference at the Marriott Marquis. In 2025, it wasn’t […]
February 27, 2025
Records Rule the World: Why Compliance Starts (and Ends) With Documentation As pretentious as it might sound, history is written by those who keep the records. Contracts carved into Mesopotamian clay […]
January 29, 2025
The stakes of trade monitoring for RIAs are high. This is not a rare scenario: an SEC audit uncovers a missing piece in an RIA’s trade monitoring process, landing them with fines […]
