For Compliance Professionals:

How to efficiently and effectively manage regulatory changes.

For RIAs and Private Funds:

Tips and guidance on how to conduct a compliant and value-driven annual review (under Rule 206(4)-7).

For RIAs and Private Funds:

A summary of the Adviser and Fund Compliance Roundtable for Q4 2024.

For RIAs and Private Funds:

How the SEC will evaluate “effectiveness” in 2025

For Compliance Professionals:

How to maintain an effective compliance program and decrease risk and liability while increasing career potential.

For Everyone:

Effective and Healthy Habits

The fallacy of correlating stress with success.

For Compliance and Risk Management Professionals:

Building a Risk Management Mindset

Risk assessment and risk management for voluntary and involuntary risks.

For Compliance and Risk Management Professionals:

Building a Risk Management Mindset

How our perception of the likelihood for downside risks skews our assessment of risks.

For Compliance and Risk Management Professionals:

Building a Risk Management Mindset

A risk management mindset for an intuitive risk assessment and tolerance.