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When Compliance Policies and Practices Don’t Match
Written compliance policies are only effective when they reflect how a firm actually operates. Explore common gaps between compliance procedures and day-to-day practices, and practical steps investment advisers can take to identify and address them.
AI Adoption Is Accelerating. For SEC-Registered Investment Advisers, Compliance Must Keep Pace
Artificial intelligence is quickly moving from experimentation to everyday use across the investment management industry. As the technology matures, firms are also beginning to explore agentic AI systems that can execute increasingly complex workflows with less direct human involvement.
SEC Risk Alert Puts RIAs' Economic Conflicts Under the Microscope
The SEC's latest Risk Alert highlights common economic conflict deficiencies identified during RIA examinations. Learn what regulators are focusing on and the practical steps firms can take to strengthen compliance before their next exam.