May 22, 2025
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, […]
May 15, 2025
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 […]
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 […]
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 […]
