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 that’s […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
April 24, 2025
On March 19, 2025, the SEC dropped an update that compliance officers have been waiting for since the Marketing Rule’s enforcement wave began. The new FAQs target the thorniest part of the […]
April 17, 2025
Introduction: The Exam That Shaped a Decade In 2007, the SEC’s examination of a midsize advisory firm uncovered a chain of internal miscommunications that, while not fraudulent, revealed a failure to […]
April 8, 2025
Introduction: The Real Cost of Scrambling In 2017, Equifax failed to patch a known vulnerability. As a result, 147 million people had their personal data exposed. It wasn’t a high-tech heist, […]
April 3, 2025
Introduction: An Industry on the Move FutureProof Citywide 2025 brought the RIA community face-to-face with the pace of its own transformation. The conversations pulsing through the boardwalk in Miami Beach were […]
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 […]
March 14, 2025
Compliance in the RIA world has always been like The Matrix: everywhere, shaping how firms operate, defining what’s possible. No testimonials, no performance advertising, no client endorsements. But just like Neo learning […]
March 7, 2025
Introduction: Opening Moves: Setting the Compliance Board In 2024, the SEC charged 26 financial institutions, including major broker-dealers and investment advisers, with widespread recordkeeping failures, resulting in combined penalties exceeding $390 […]
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 […]
