Category Archives: Blog

The AWS Outage: A Wake-Up Call for Operational Resilience

By: E.J. Yerzak In mid-October, Amazon Web Services’ US-EAST-1 data center in Ashburn, Virginia, went [...]

Embracing AI in Compliance: Start Small, Start Now — But Start

AI isn’t a trend on the horizon. It’s already transforming how firms operate, make decisions, [...]

Compliance Considerations for AI Use and Policies

By: Matt Calabro Artificial intelligence is no longer a future concept—it’s part of daily operations [...]

Regulation S-P Reminder

With just two months left before the December 3, 2025 compliance deadline, the SEC has [...]

Recent SEC Remarks

By: Jackie Hallihan The SEC closed September with two major announcements that signal a more [...]

Compliance Update: Private Fund Legislation Moves Forward

By: Gena Dirani In July 2025, the House Financial Services Committee advanced three bipartisan bills [...]

Digital Asset Regulation: A Reset in Tone

By: Gena Dirani U.S. digital-asset regulation is undergoing a meaningful reset. After years of “regulation [...]

AI Notetakers: Compliance and Cybersecurity Risks

By: E.J. Yerzak and Adam DiPaoloArtificial intelligence is reshaping how investment advisers operate — from [...]

Regulatory Changes Every RIA Should Know in 2025

If you’re a Registered Investment Advisor (RIA), staying on top of regulatory changes is not [...]

What Is Asset Liability Management (ALM) and Why Should Wealth Management Firms Care?

For wealth management firms, balancing growth, risk, and client trust is a daily challenge. But [...]