October 8, 2025
The Real Risk of Informal Review (And Why It’s Still Everywhere) Most RIAs are still handling advertising and marketing review the same way they did before the SEC’s Marketing Rule changed everything, […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
September 30, 2025
Every year, the Kitces Report offers a rare, data-backed glimpse into what independent advisors are really using—and loving—inside their technology stacks. The 2025 edition is no exception. From financial planning platforms to […]
September 29, 2025
I’ve sat across from compliance officers who can recite filing deadlines in their sleep but still lose hours hunting through email chains for a missing acknowledgment. I’ve seen consultants juggle five clients’ […]
September 24, 2025
A new webinar from the SEC is a warning shot. It is not a courtesy invitation. On September 25th, the SEC will host a special webinar for large firms focused entirely on […]
September 19, 2025
The SEC recently fined Massachusetts-based investment adviser Meridian Financial $75,000 for a single sentence on their website. That’s not a typo. One line of marketing copy was enough to trigger a high-visibility […]
September 16, 2025
Earlier this month, NASAA (the North American Securities Administrators Association) released its 2025 annual report on state-registered investment advisers. And for smaller RIAs still assuming regulators are focused elsewhere, it should be […]
September 12, 2025
After a decade in compliance, you start to notice the same rhythms: quarter-end scrambles, brokerage feeds that don’t quite connect, the email from someone insisting they already submitted their attestation. But you […]
September 11, 2025
The SEC’s recently released Spring 2025 Regulatory Agenda reflects a clear shift: modernization is no longer theoretical, it’s underway. For RIAs, compliance officers, and crypto-forward firms, the implications are both promising and […]
September 2, 2025
National Compliance Officer Day: A Holiday You Didn’t See Coming Every year, on September 26, the industry takes a collective bow toward the often unsung champions of organizational integrity: compliance officers. Yes, […]
