Stay updated with the latest compliance trends, regulatory changes, and technology insights for RIA firms.
RIA year end compliance checklist for advisers. Continuing Education, year end AUM, ADV, Form PF, 13F, 2026 SEC exam priorities, training, mock audits, and cybersecurity.
As investment markets evolve, so does the need for additional regulatory oversight. While much of the recent focus has been on what is effectively a global investment market with national subsectors, it's important to maintain sight of your core market. As a Registered Investment Advisor (RIA),
Cybercrime is estimated to cost the global economy $10.5 trillion in 2025, an increase of $7 trillion over the last decade! To put this into perspective, if this were measured as an economy, it would be the third largest in the world behind the US and China.
The SEC Division of Examinations (EXAMS) states that over the course of fiscal year 2025, they will focus their examinations on the use of artificial intelligence (AI) and emerging technologies, cybersecurity, complex products, outsourcing, private fund advisers, and compliance with new and amended SEC rules.
The Financial Crimes Enforcement Network (FinCEN) has introduced new Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations for Registered Investment Advisers (RIAs). These new rules will take effect on January 1, 2026, bringing significant changes to the compliance landscape for investment advisers.
The SEC dished out fines to 26 advisory firms for failure to maintain current and accurate records of electronic communications, accumulating $392.75 million and leading firms to enhance their compliance procedures.
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