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

Eliminated $80K in Duplicate Vendor Payments

Discover how Pacific Gate Capital eliminated $80K in duplicate vendor payments through enhanced compliance controls and streamlined processes.

Eliminated Late Regulatory Filings, Saving $10K in Penalties

Timely regulatory filings are critical. See how New Horizons avoided $10,000 in penalties by fixing a manual process.

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Enhanced Cybersecurity Posture by 60% After Assessment

A comprehensive cybersecurity assessment identified and remediated vulnerabilities, significantly enhancing the firm's overall security posture.

Enhanced Suitability Reviews Boost Client Retention to 98%

Refined suitability review process, increasing client retention rates by verifying suitable recommendations at Rossi Family Office.

Ferguson Estate Planning Secured $340K in Tax Savings

Proactive tax compliance strategies identified opportunities for significant tax savings, maximizing client wealth and minimizing tax liabilities.

Firm Avoids $100K Penalty: Improved Advertising Review

Protect your brand and avoid fines. Discover how strengthened advertising review processes helped Pacific Ridge avoid a $100K penalty.

Form CRS Compliance: 97% Client Acknowledgment Rate

Whitfield Tax & Wealth secured a 97% client acknowledgment rate for Form CRS, demonstrating commitment to transparent communication and compliance.

Form CRS Compliance Achieved with Zero Deficiencies

We helped Legacy Bridge Advisors navigate the complexities of Form CRS, achieving full compliance with no reported deficiencies.

GDPR Compliance Achieved: $100,000 Risk Mitigation

Implemented GDPR compliance measures, mitigating potential fines and ensuring the privacy of Granite Peak's clients. Enhanced data protection.

GDPR Compliance Achieved: 99% Data Subject Request Accuracy

Whitfield Tax & Wealth achieved 99% accuracy in processing GDPR data subject requests after implementing updated data privacy protocols.

Granite Peak Advisors Achieves 99% KYC Compliance Rate

Improved Granite Peak Advisors' KYC process, significantly reducing risk and improving client onboarding. Enhanced compliance for financial advisors.

Harrington Achieves 90% Suitability Documentation Automation

Streamlined client onboarding and ensured investment suitability by automating documentation processes, resulting in greater efficiency and accuracy.

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