COMPLY

Got questions on the SEC's 2025 Exam Priorities? We have answers. Check out our recent blog for critical highlights and insights: https://lnkd.in/gcEq8XNS #SEC #SECexampriorities #COMPLYwithConfidence

#CybersecurityAwarenessMonth may be coming to a close, but cybersecurity compliance is a year-round initiative. Download The Chief Compliance Officer’s 2024-2025 Cybersecurity Checklist for insights, best practices, and top tips to help you navigate cybersecurity compliance with confidence. Get your copy: https://lnkd.in/ejwfFymq #cybersecurity #cybersecuritycompliance #COMPLYwithConfidence

And that's a wrap on the 2024 National Society of Compliance Professionals National Conference! Highlights of the conference included: ▶️ John Van Der Wal sharing his industry expertise on the "Advisory Fee Billing: Risks and Best Practices" panel ▶️ Team members Sarah Price, Kim Michalczyk, and John Beck, M.B.A. repping COMPLY and discussing how we enable comprehensive compliance program management ▶️ Connecting with compliance professionals from across the country Didn't get a chance to stop by our booth? Schedule time to speak with our experts today: https://lnkd.in/eq693Dg5

Is your compliance program built to handle the modern-day realities of new regulations, disclosures, and enforcement sweeps? Are you able to provide regulators, stakeholders, and leadership with real-time visibility into your compliance program…with ease?  If you answered no, it might be time to reimagine your compliance strategy from a 360-degree vantage point. Join COMPLY's David Bliss and Oron G. A. as they sit down to discuss how COMPLY Program Management can help you orchestrate a comprehensive, scalable compliance program for 2025 and beyond. Save your seat: https://lnkd.in/d--rA3Jc #COMPLYwithConfidence #COMPLY

Attending the 2024 National Society of Compliance Professionals National Conference? Stop by Booth 25&26 to say hi to COMPLY team members Sarah Price, John Beck, M.B.A., and Kim Michalczyk! Plus, hear from COMPLY's Senior Director – Compliance Advisory John Van Der Wal as he shares his expertise during the "Advisory Fee Billing: Risks and Best Practices" panel later this afternoon. #COMPLYwithConfidence #COMPLYteam

And the winners are... 🥁 🥁 🥁 “This year’s COMPLYConnect award winners are not just leading the way among their peers; they are at the forefront of compliance for the entire financial services industry,” said Michael J. Stanton, COMPLY Chief Executive Officer. “We received a record number of exceptional submissions this year, underscoring the strides compliance professionals are making in leading their firms through incredibly challenging and volatile regulatory change. This is an achievement all award nominees and winners should be proud of.” A big congratulations to all the winners and finalists: https://lnkd.in/eTt5jwCm #COMPLYConnect #CC24 #COMPLYwithConfidence

COMPLYConnect 2024 left us with our hearts and minds full! We really enjoyed connecting with our industry professionals to congregate around all things compliance. Being a CCO is not an easy job and finding support in our compliance community is something special. A few comments I noted this week I hope you will enjoy: 💪 Being an empowered CCO is rare and the more we can work toward creating buy-in at all levels of a firm, the more successful the firm will be. 💵 Every dollar spent on compliance supports profit over loss. 🚧🔨 Build a culture around a competitive compliance program that will pay dividends down the road. 🤝 Find your friends in regulators. They want to see your success and support you and your firm. We are happy to support our friends in compliance and we look forward to seeing everyone next year!

"The North American Securities Administrators Association's annual report detailed a significant rise in enforcement actions against errant broker-dealers, investment advisers, and their representatives as well as a stronger emphasis on technology-related fraud, especially in the realm of digital assets and social media. ...the report said state securities regulators initiated 8,768 investigations, including 5,155 new cases and 3,613 ongoing ones. A large chunk of these involved traditional investment products and registered parties, with new investigations launched into 204 broker-dealers, 184 agents, 404 investment advisers, and 190 investment adviser representatives. From there, regulators brought 103 enforcement actions against broker-dealers, 42 against agents, 113 against investment advisers, and 142 against investment adviser representatives." Read the full InvestmentNews article: https://lnkd.in/eQRXhGKX #NASAA

And that's a wrap on the 2024 COMPLYConnect Conference & Expo! A big thank you to everyone who made this event possible, including our speakers, sponsors, COMPLY staff, and of course, the attendees. See you next year!

SMCR requirements causing confusion for your team? Download The Ins and Outs of SMCR for an overview of the rule, what you need to know to stay in compliance, and a look at how COMPLY’s expanded SMCR solution can help you automate your processes.  Download your copy today: https://lnkd.in/eydA4a_W #SMCR #FCA #COMPLYwithConfidence