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 15, 2025
For most founders, regulatory discussions don’t appear on the radar until something goes wrong: a delayed offering, a compliance snag, or a legal gray zone no one warned them about. But often, […]
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 […]
July 3, 2025
The Comfort of “Good Enough” When Sarbanes-Oxley dropped in 2002, a lot of firms didn’t take it as a wake-up call. They treated it more like a checkbox exercise. Copy-paste a […]
June 25, 2025
Same rules, smaller teams It’s one thing to train for a marathon with a full coaching staff, custom shoes, cryotherapy, and someone handing you electrolytes mid-stride. It’s another to show up […]
June 17, 2025
You’re probably reading this article because someone (maybe the CCO, maybe your future self) said the words: “We need to audit our compliance program.” And now it’s your job to figure out […]
June 6, 2025
In the early 2000s, SEC exams often meant dusting off physical binders and hunting through emails for attestations. A good compliance officer knew the art of printing PDFs and organizing labeled folders. […]
June 4, 2025
You can’t outsource accountability—the words of Gurbir Grewal, SEC’s Director of Enforcement, landed like a drumbeat. What your firm says, builds, shares, or automates—if it reaches a client or touches decision-making—it’s yours […]
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 […]
