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 […]
February 20, 2025
From handshake deals to compliance marathons: How RIAs navigate today’s regulatory landscape In the early days of financial advice, relationships ruled the game. A handshake and a reputation were often enough to […]
February 12, 2025
Introduction: Why Manual Compliance is a Risky Game Compliance officers might be getting chills, as it’s only the beginning of the year and the SEC has already gotten the party started, […]
February 5, 2025
Introduction: Why Compliance Matters Since the first stock market launch back in 1602, financial markets have always walked a fine line between ambition and oversight. History shows that whenever regulations lag behind […]
January 29, 2025
The stakes of trade monitoring for RIAs are high. This is not a rare scenario: an SEC audit uncovers a missing piece in an RIA’s trade monitoring process, landing them with fines […]
January 24, 2025
Introduction: The Foundation of Trust Conflicts of interest are the silent disruptors of trust in Registered Investment Advisor (RIA) firms. Beyond regulatory mandates, managing these conflicts effectively is about demonstrating a […]
