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 [...]