April 9, 2026
Most RIAs treat compliance and risk management as the same function. They sit under the same person, draw from the same budget, and show up in the same section of the firm’s […]
Blogs
Get insider perspectives on compliance challenges, regulatory changes, industry trends, and operational best practices.
April 7, 2026
Ask a CCO how their compliance program is holding up and most will say fine. Ask them the same question at the end of an exam week, or after onboarding their sixth […]
April 1, 2026
There’s a version of this you’ve probably seen at least once: a client firm you’ve been working with for two years decides to get serious about marketing. They hire a content person, […]
March 27, 2026
For the better part of a decade, RIAs advising clients on crypto holdings operated in a jurisdiction built from inference. The SEC’s primary analytical tool was the Howey test, a 1946 framework […]
March 23, 2026
Here’s the problem most RIAs haven’t solved yet: you built your compliance manual for one regulator. The SEC. Your regulator. The one that shows up for exams, the one you’ve spent years […]
March 19, 2026
The SEC Just Rewrote Its Enforcement Playbook for the First Time Since 2017 On February 24, 2026, the SEC’s Division of Enforcement released the first major update to its Enforcement Manual since […]
March 17, 2026
Large advisers cleared their Reg S-P deadline in December 2025. If your firm manages under $1.5 billion in AUM, your date is June 3, 2026 and the gap closes faster than it […]
March 10, 2026
Most RIAs don’t build a compliance system. They build a practice, and compliance grows alongside it. In the early years, that works surprisingly well. A handful of advisors, a small operations team, […]
February 16, 2026
(And Why Your 2022 Policy Might Now Be Wrong) Most firms believe they’re being conservative. “Use model fees.”“Ban promoters with disciplinary history.”“Lock it down so we don’t get cute with marketing.” Those […]
