March 2, 2026
When RIAs think about non-compliance, they usually think about the headline fine. A $150,000 civil penalty. A disgorgement order. A public enforcement action. But the fine is rarely the most expensive part. […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
February 23, 2026
On Day 1, your new CCO walks in energized. They have a clean notebook, a clear mandate, and real ambition. They’re here to build structure. Strengthen oversight. Get ahead of risk. As […]
February 18, 2026
Growth feels good. Revenue is up. Advisors are joining. You’ve crossed roughly 30 employees, and nothing feels broken. That’s exactly why this stage is dangerous. The 30–50 employee range is where compliance […]
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 […]
February 10, 2026
Most firms talk about SOC 2 when a prospect asks for it. That’s already too late. By the time a buyer sends over a vendor due-diligence checklist or an examiner asks how […]
February 2, 2026
On February 24, 2026, the SEC’s Small Business Capital Formation Advisory Committee will meet to continue discussions on the regulatory framework for “finders” and to examine the growing role of the private […]
January 27, 2026
RIA compliance rarely fails because firms don’t care. It fails because compliance is fragmented. Marketing reviews live in one system. Vendor diligence sits in spreadsheets. Employee attestations arrive by email. Exam prep […]
January 23, 2026
On January 7, 2026, the Securities and Exchange Commission proposed amendments to how “small entities” are defined for investment advisers and investment companies under the Regulatory Flexibility Act (RFA). At first glance, […]
January 21, 2026
SEC enforcement activity fell to decade lows in fiscal year 2025. The Commission brought 313 enforcement actions, and total monetary settlements declined by approximately 45%, marking a clear departure from the prior […]
