Category Archives: Blog

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 DiPaolo Introduction Artificial intelligence has been a game-changer for financial [...]

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 [...]

What Are GRC Services? A Complete Guide for Wealth Management Firms

In today’s complex financial environment, compliance, risk management, and strong governance aren’t just regulatory requirements [...]

ALM Readiness Checklist for Wealth Management Firms

Is your firm financially resilient and prepared to handle market volatility and client demands? Use [...]

Top 10 GRC Metrics and KPIs Every Compliance Leader Should Track

In today’s complex regulatory environment, governance, risk, and compliance (GRC) leaders are under more pressure [...]