November 5, 2025
Why December 2025 Can’t Wait for Reg S-P Compliance Large advisers have until December 3, 2025, to implement comprehensive changes under the amended Regulation S-P, but treating this as a distant deadline […]
Blogs
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
October 23, 2025
Why Vendor Oversight Is No Longer Optional Five years ago, “vendor due diligence” meant checking a few boxes once a year. In 2025, it’s one of the top five exam priorities across […]
October 9, 2025
Most people think government shutdowns are about politics. But if you’re the person responsible for making sure your firm stays compliant, audit-ready, and operationally sound, a government shutdown is something very different. […]
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, […]
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 […]
