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
The Securities and Exchange Commission (SEC) requires investment advisers to meet certain due diligence requirements before hiring a service provider to perform specific investment advisory services or functions. It’s imperative that RIAs establish and maintain robust vendor due diligence and … Read More
Outsourced Compliance Solutions AML Compliance Package AML Compliance Support Anti-Money Laundering (AML) obligations are on the radar for investment advisers as they prepare for the compliance date of January 1, 2028. Having the right framework in place is critical. Core … Read More
Making the leap to independence as a financial adviser is a bold and exciting decision—one that holds the promise of greater autonomy, the ability to shape your own firm culture, and the potential for increased long-term growth. But as empowering … Read More