May 27, 2026
Most compliance dashboards answer the wrong question. They show what has been done: tasks completed, attestations collected, and policies acknowledged. Clean numbers, green indicators, and a sense of progress. What an SEC […]
Blogs
Get insider perspectives on compliance challenges, regulatory changes, industry trends, and operational best practices.
May 26, 2026
The first hire was careful. You walked them through the compliance program personally, collected everything you needed, made sure their outside accounts were registered for trade monitoring before their first day. The […]
May 19, 2026
By now most RIAs under $1.5 billion in AUM know the June 3 date exists. Fewer have spent time thinking carefully about what “compliant” actually means when an examiner walks in and […]
May 18, 2026
Most RIAs that receive deficiency letters after an SEC examination didn’t know they had a problem. That is not a defense. It is the pattern. The findings that show up most consistently […]
May 14, 2026
The promotion makes sense on paper. The ops manager who built the firm’s compliance program from scratch, who knows where every policy lives and why every procedure exists, and who has been […]
May 11, 2026
Here’s the assumption worth examining before the conversation with a small business client goes too far: a Pooled Employer Plan is not a retirement plan product. It is a liability structure. And […]
May 5, 2026
Most of the AI conversation in wealth management compliance has been happening at the wrong altitude. Vendors are demonstrating what AI can theoretically do. Regulators are warning about what AI might do […]
April 27, 2026
Form PF has been a compliance burden for private fund advisers since its introduction following the Dodd-Frank Act, and that burden grew significantly with the amendments adopted in 2023 and 2024 under […]
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, […]
