Compliance Programs That Scale With Your Firm Effective compliance programs are built on repeatable systems, not last-minute fixes. A practical compliance framework for small financial firms typically includes: 1. Program Development and Documentation Clear written supervisory procedures, tailored policies, and…

Stay Ahead of SEC Expectations in 2026 The SEC’s 2026 Regulatory Oversight Report provides a clear roadmap of where examiners and enforcement staff are focusing their attention. For broker-dealers, investment advisers, and hybrid firms, understanding these priorities is essential to…

The SEC’s Division of Examinations has published its 2026 Examination Priorities, outlining the agency’s key focus areas for RIAs and Broker-Dealers. This year’s priorities reinforce the SEC’s emphasis on investor protection, risk management, technology oversight, and compliance with recently adopted…

Financial crime continues to evolve—and so must compliance programs. The Corporate Transparency Act (CTA) marks a major shift by introducing verified beneficial ownership data into the regulatory ecosystem, directly influencing how AML programs are built, tested, and operated across New…

Regulatory pressure is high, exams move fast, and many findings stem from avoidable gaps. The real question: Is your compliance program resilient—or is it relying on hope? Weak Supervision = The Root of Most Breakdowns A supervisory system that exists…

In today’s regulatory environment, financial institutions face growing pressure to detect and prevent illicit financial activity. Implementing an effective AML compliance program is no longer just a compliance checkbox—it's a cornerstone of institutional integrity and legal responsibility. As regulatory scrutiny…

What Is Compliance Outsourcing? Compliance outsourcing for financial institutions involves delegating core regulatory responsibilities—such as AML monitoring, audit preparation, regulatory filings, and training—to third-party providers. These third-party compliance providers offer scalable and tailored solutions designed to align with each institution’s…

Risk‑based compliance programs are essential for financial firms operating in today’s regulatory landscape. Implementing a structured and proactive regulatory compliance framework allows broker‑dealers, investment advisers, and financial institutions to anticipate risks, streamline resource allocation, and demonstrate preparedness under SEC and FINRA oversight. What Is…

With the new investment adviser marketing rule set to take effect in 2025, registered investment advisers must prepare. The updated rule significantly expands the definition of marketing and brings stricter regulation around testimonials, performance presentations, and third-party ratings. Firms that…

Staying compliant in an evolving regulatory environment is non-negotiable for financial firms. With the Securities and Exchange Commission (SEC) outlining its 2025 examination priorities, broker-dealers, investment advisers, and other regulated entities must proactively assess their compliance frameworks to meet these…