COMPLY

"The Securities and Exchange Commission filed 583 enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history, according to the agency. The total enforcement actions represent a 26% decline compared to fiscal year 2023, according to?the SEC's report." Read the full ThinkAdvisor article: https://lnkd.in/eCf83_zK #SEC #COMPLYwithConfidence

When it comes to NASAA's IAR CE Model Rule requirements, what you don't know could hurt you. The good news? We've got the answers to your top FAQs. Download COMPLY's 2025 IAR CE Guide for answers, insights, and updates on all things IAR CE: https://lnkd.in/eFzQSYF5 #IAR #RIA #NASAA #COMPLYwithConfidence

The investment adviser industry is a Main Street profession, with a presence in all 50 states, the District of Columbia, and Puerto Rico. Growth in the number of investment advisers has been strongest in the South and in states that have not been traditional financial centers. Read more:?https://lnkd.in/eW48JzRS

For compliance teams of all sizes, a new year means new goals, new rules, and new strategies. However, as an individual compliance professional, it can also be the perfect time for a new investment in your career and your future – scoping out what you hope to accomplish, setting clear goals, and doing the work to progress your professional development. Join Karen A. and Ann Hauerland, MBA, as they discuss the importance of finding time to enhance and elevate your career and the resources available to help you do just that. Save your seat today: https://lnkd.in/evp5abv5 #ModernCOMPLYaneWomen #COMPLYwithConfidence

"The Securities and Exchange Commission says Chair Gary Gensler will leave his post on Jan. 20, when Donald Trump will begin his second term as president. Gensler started his tenure in April 2021. His exit likely means the SEC will be led by an acting chair from the Republican party: Hester Peirce or Mark Uyeda, industry watchers?have said." Read the full ThinkAdvisor: https://lnkd.in/g4Pfp6Zm #SEC #SECNews #COMPLYwithConfidence

Please join us in welcoming Deepak Kaimal as COMPLY's new Chief Technology Officer! ?? We couldn't be more thrilled to have such a talented, engaged, and innovative leader join our team as we continue our exponential growth trajectory. ?? “COMPLY is raising the bar and redefining what financial services firms can and should expect from their compliance partner, not only on the technology and product front, but from a services, support, consulting, and education perspective as well,” said Deepak Kaimal. “I am excited to work with an organization that is aligned in its focus on making customers successful and have been impressed with how the team actively engages and collaborates with customers to prioritize product roadmaps, tech innovation, and investments.” #COMPLYwithConfidence #LifeatCOMPLY

The COMPLY team is taking on IMPACT?2024! Have compliance questions? Our team has the answers.? Make sure to stop by the COMPLY’s Kiosk located at Tech 35 in the Tech Alley to say hello to COMPLY team members Kate VanKoevering and Natalia Egozi and learn more about how COMPLY’s industry-leading solutions enable firms to establish, maintain, and scale comprehensive compliance programs.? #COMPLYwithConfidence #SchwabIMPACT?

This week, COMPLY team members Jacqueline Morcombe and Jessica Freckleton attended HFM Global's HFM European Legal Summit 2024. During the panel session "Regulatory roundup – An update from the FCA," Jessica shared her perspective on the current challenges facing fund managers as well as how the FCA regulatory agenda will impact them going into 2025. Didn't get a chance to say hi to the team? Schedule time to speak with our experts today: https://lnkd.in/eq693Dg5 #HFMEuropeanLegalSummit #HedgeFunds #FCA #COMPLYwithConfidence

How would you rank your firm’s culture of compliance? While your compliance team will lead strategic initiatives, interpret rulings, and act as the source of truth for rules and regulations, it is critical that every member of your firm take an active role in achieving and maintaining compliance.?? And that’s where a strong culture of compliance comes into play.?Download COMPLY's Ultimate Culture of Compliance Checklist for best practices and insights to help you create and maintain a strong culture of compliance. Get your copy: https://lnkd.in/e-AssR6w #FCA #SEC #CultureofCompliance #COMPLYwithConfidence

When it comes to doing business, giving and receiving gifts is a common practice – often used to show appreciation for partnerships, work, and ongoing joint success. However, when it comes to compliance, gift-giving can get complicated. Especially when those gifts come with hefty price tags. To help you navigate this compliance conundrum, we’ve compiled insights on the core Gifts & Entertainment regulations, as well as best practices to ensure that the gift of giving doesn't end up costing you. Download your copy: https://lnkd.in/eW5Un-y2 #SEC #COMPLYwithConfidence