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 […]
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 […]
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, […]
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 […]
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 […]
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 […]
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 […]
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, […]
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 […]