Top Compliance Mistakes RIAs Make (and How to Avoid Them)

Unfortunately, even the most diligent firms can stumble into costly pitfalls when it comes to compliance regulations . Are you confident in your compliance practices?  Familiarizing yourself with common mistakes that RIAs make—and how to avoid them— will  protect your firm, streamline your operations, and keep you ahead of regulatory changes.  We outlined trusted compliance  […]

2025 Compliance Trends for RIAs: How to Leverage Compliance Software Solutions

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), it’s crucial that you take a proactive approach to […]

SEC 2025 Examination Priorities, Simplified.

The SEC 2025 Examination Priorities have been released, we want to make sure your firm is prepared for the year ahead… 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, […]

Avoiding SEC Fines With the Right Technology

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. If we have said it once, we have said it a thousand times: the SEC is continuing to crack down on text message archiving […]

The SEC’s proposed vendor due diligence rule

On October 26, 2022, the Securities and Exchange Commission proposed new oversight requirements for certain services outsourced by Investment Advisers. https://www.sec.gov/news/press-release/2022-194 The new rule proposal would prohibit registered investment advisers from outsourcing certain services and functions without conducting due diligence and monitoring of said service providers. The outsourcing focus is on areas such as: Outsourced Compliance […]

Video Overview

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