Compliance Case Studies

SEC compliance case studies for RIAs. Real-world examples of filing automation, cybersecurity programs, and advertising review systems that pass regulatory exams.

190 case studies

$100K Cost Savings: Efficient GDPR Compliance for Santos

Santos Financial saved $100,000 by implementing streamlined GDPR compliance processes. Data protection can also save money.

$120K Cost Savings: AI-Powered Complaint Handling

We implemented an AI solution to streamline Legacy Bridge's complaint handling, reducing manual review time and associated costs.

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$15,000 Cost Savings: Transitioning to E-Delivery of Documents

Cornerstone Advisory Group saved $15,000 annually by transitioning to electronic delivery of client documents, reducing paper and printing costs.

$150K Cost Savings Through Vendor Due Diligence Automation

Automated due diligence process saved Montgomery Retirement $150K. Learn how to minimize risks associated with third-party vendors.

$200K in Regulatory Fines Avoided with Proactive Audits

Find out how proactive compliance audits helped Meridian Wealth Partners avoid potential regulatory fines totaling $200,000.

$25,000 Cost Avoidance with Harrington's Compliant Social Media Policy

Mitigated regulatory risks associated with social media by developing and enforcing a comprehensive social media policy, avoiding potential fines.

$25,000 Fine Avoided: Enhanced Complaint Handling Process

Mitigate risk and avoid penalties. See how improved complaint handling at Pacific Ridge prevented a $25,000 potential regulatory fine.

$250K Cybersecurity Insurance Premium Reduction

See how Pacific Gate Capital reduced cybersecurity insurance premiums by $250K through a comprehensive security assessment and enhanced protocols.

$250K Estimated Savings via Vendor Due Diligence Program

Built a robust third-party vendor due diligence program that saved Granite Peak Advisors an estimated $250,000 in potential losses. Improved compliance.

$250K Vendor Risk Reduction: Due Diligence Process Overhaul

Luminary Wealth Partners reduced vendor risk by $250K through improved due diligence. Discover their comprehensive assessment process.

$30,000 Fine Averted: Advertising Compliance Review System

Cornerstone Advisory Group averted a potential $30,000 fine by implementing a robust advertising compliance review system.

$340K Tax Savings Achieved Through Compliant Tax Loss Harvesting

Implemented a compliant tax loss harvesting strategy, resulting in significant tax savings for clients of Rossi Family Office Services.

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