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 [...]