Another year in compliance is officially in the books — and yes, that’s worth celebrating. While 2025 did not introduce sweeping new rules, it reinforced a familiar reality for advisory firms: ongoing obligations still require ongoing effort. Custody audits, annual … Read More

In November, the SEC released their 2026 Examination Priorities List,[1] which for investment advisers reflect a notable return to foundational principles, with a strong emphasis on fiduciary duty and standards of conduct, accurate disclosures, and the overall strength of a … Read More

The digitization of communication continues with fervor. For the financial industry, this is parallelled by the continued development of associated rules and requirements as regulators work to stay in lockstep with technological advancements. As new platforms and methods of communication … Read More

As 2025 draws to a close, compliance teams have a valuable opportunity to pause, reflect, and confirm the overall health of their programs. Year-end is not just about closing out outstanding tasks — it’s about validating that the firm’s compliance … Read More

October 26-29, 2025  | NSCP National Conference | Orlando, FL | Speaker: Michelle L. Jacko   We are excited to announce that Michelle L. Jacko will be speaking at the 2025 National Society of Compliance Professionals (NSCP) Annual National Conference, in … Read More

Under Rule 206(4)-7 of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are required to conduct an annual review of their compliance program[1]. This review is designed to evaluate whether the … Read More

Its common knowledge in the securities industry that an investment adviser registered with the Securities and Exchange Commission (“SEC”) is required to have a compliance program in place, which must be structured and maintained to prevent violations of applicable federal … Read More

For investment advisers, compliance is more than just a regulatory requirement — it’s a critical safeguard for the firm’s integrity, client relationships, and long-term viability. From the moment a firm registers with the U.S. Securities and Exchange Commission (SEC), it … Read More

On July 21, 2025, FinCEN announced its intention to postpone the effective date of the final rule requiring Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) programs and Suspicious Activity Report (SAR) filing for registered investment advisers and exempt reporting advisers … Read More