Key Bridge Compliance

Key Bridge Compliance enjoyed meeting students at the Xavier University Career Development Career Fair yesterday! If you are interested in a Summer internship focused on compliance and finance, reach out to Keisha Nakwa, SHRM-CP at [email protected].

?? Cybersecurity Compliance Is About to Change... Imagine this: A new regulation drops. Suddenly, everything your team treated as a “best practice” becomes a legal requirement. No exceptions. No excuses. According to Kristin Prieur, IACCP?, CRPC?, AAMS?, this shift is likely to be coming... ?? Here’s what’s about to change: ? Best practices become law: From endpoint monitoring to firewalls, you’ll need documented policies. ? Mandatory risk assessments: Annual reviews won’t be optional and they’ll be required. ? Small firms hit hardest: Without big budgets, compliance will feel like a race against time. No more ‘should do’, it’s ‘must do.’ So, is your cybersecurity house in order? Or will you be scrambling when regulators come knocking? ?? What’s the biggest gap you see in cybersecurity policies today? Share below. ?? ?? Full episode with Kristin Prieur: Superset #Cybersecurity #Compliance #Fintech #Regulations #Leadership #AI #DataPrivacy #BusinessGrowth #RiskManagement #fintech #startups

Key Bridge was thrilled to have partnered with Xavier University - Williams College of Business for a series of outstanding events: We are always proud to sponsor the McCormick Finance Symposium, organized by the amazing Kim Renners, and appreciate the insightful remarks from Xavier's "biggest cheerleader" Marco Pagani. Our team thoroughly enjoyed listening to the panel of experts, Greg Christopher,Patrick Forde, Val Ackerman, and Jenn Fraser, as they explored the new age of college sports. Additionally, the keynote speaker, Christopher Thornberg, always brings a refreshing perspective, this time on the economic and policy issues impacting the nation, Ohio, and Cincinnati. And, of course, we never miss the chance to enjoy a Xavier basketball game from the best seats in the house—cheering our team on to a fantastic win last week!

?? Crypto, AI, and Cybersecurity Under Trump 2025? ?? Regulatory shifts are coming fast, and if you’re in crypto, AI, or compliance, you need to know what’s next. In this episode of Data Dilemmas, I sit down with Kristin Prieur the Director of Compliance Services Key Bridge Compliance TLDR: ?? How crypto and AI regulations is likely to shift under the Trump presidency ?? The biggest SEC trends for 2025 ?? What companies can do NOW to prepare for cybersecurity and anti-money laundering (AML) scrutiny If you deal with compliance, fintech, or data privacy, this is one you can’t afford to miss. ?? Listen now: https://lnkd.in/gxx7PaUC Drop a comment - how do you think regulation will change with Trump in office? ?? featuring Kristin Prieur, IACCP?, CRPC?, AAMS? and Superset #Crypto #AI #Compliance #Cybersecurity #DataPrivacy #Fintech #Regulations

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We’re excited to partner with Orion and WealthManagement.com for the upcoming webinar: 2025 Compliance Outlook: Essential Strategies for Financial Advisors This event will feature: ??? Ian Meiksins, President of KBC ??? Mark Audrain, CCO of Orion Hosted by Shannon Rosic, Director of WealthStack Content & Solutions at WealthManagement Together, they’ll explore: ?? Compliance trends shaping the financial industry in 2025 ? Practical strategies to stay ahead of regulatory changes ?? Tools and insights to enhance your firm’s compliance framework ?? When: Thursday, January 16 ? Time: 2:00 PM ET ??? Register Here: https://lnkd.in/gHgxri3B Don’t miss this opportunity to gain insights from industry leaders and ensure your compliance strategies are ready for 2025!

We wish you a cozy and joyful holiday season!

'Tis the Season (for an SEC Examination)! As the holiday season approaches, it’s not uncommon for the Securities and Exchange Commission to gift a surprise examination to an advisory firm. To help you prepare for any last-minute request lists, we’ve compiled a few key items to have ready—just in case. Keep in mind that during the holidays, many team members may be on vacation, and the SEC often uses these “stress tests” to evaluate your firm’s ability to handle pressure, especially when key personnel are out of the office. Here’s a checklist to help prepare you: 1. Updated Organizational Chart Make sure your organizational chart is current, reflecting all team members and their roles within the firm. 2. Current Client List with Portfolios Generate and maintain an up-to-date list of all clients and their associated portfolios. 3. Marketing Materials from the Past Two Years Ensure you can easily access all marketing materials created or distributed within the past two years. 4. Centralized Advisory Agreements Store all advisory agreements in a single, easily accessible location. 5. Year-to-Date Financial Documents Have the most current year-to-date balance sheet, income statement, and general ledger prepared and ready for review. 6. Trade Blotter for Current Clients Compile a trade blotter detailing all transactions executed for current clients. 7. Compliance Documents Make sure you have current and previous copies of your Compliance Manual and Form ADV/CRS. Partnering with us means you don’t have to navigate the SEC alone. We’re here to help you prepare, organize, and confidently face any examination. Reach out to us using the link below if you or your firm are interested in having a proactive conversation about your compliance. https://lnkd.in/gNnaxfyV

The Key Bridge team is ending the year on a heartwarming note! Members of our team volunteered with The Salvation Army for their Adopt-A-Family program, assisting with the intake and organization of donated gifts. This year alone the program will reach over 600 families to those in need during the holiday season. ??

Our team will be taking time to enjoy the holiday, we hope you do as well. Wishing everyone a safe and delicious time!