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

Harrington Achieves 95% Accuracy in SEC Form ADV Updates

Achieved near-perfect accuracy in ADV filings by automating data aggregation and validation, mitigating errors and potential SEC penalties.

Harrington Reduces Cyber Insurance Premiums by 15%

Strengthened cybersecurity posture by implementing robust security controls, leading to a significant reduction in cyber insurance premiums.

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Harrington Reduces False AML Alerts by 60% with AI

Reduced false positives in anti-money laundering (AML) alerts by leveraging AI and machine learning to identify suspicious activity more accurately.

Harrington's Disaster Recovery Plan: Tested, Validated, and Ready

Developed and rigorously tested a comprehensive disaster recovery plan, ensuring business continuity and client data protection in any emergency.

Harrington's Surveillance System Prevents Insider Trading: 100% Detection

Leveraged advanced surveillance technology to detect and prevent insider trading, protecting the firm's reputation and ensuring fair market practices.

Improved Client Communication: 70% Faster Disclosure Delivery

Improved client communication at Reeves Institutional, delivering regulatory disclosures 70% faster by switching to a compliant digital delivery system.

Increased Suitability Documentation Efficiency by 25%

Client suitability is paramount. Learn how New Horizons improved documentation efficiency by 25% with automation.

Insider Trading Prevention: $250K Potential Loss Avoided

Whitfield Tax & Wealth prevented a potential $250,000 loss by detecting and preventing insider trading through automated surveillance systems.

Insider Trading Prevention: 15% Risk Reduction for Summit

Summit Capital reduced insider trading risk by 15% with enhanced surveillance and monitoring. Advisor: David Park.

Insider Trading Risk Cut by 75% with Enhanced Surveillance

See how enhanced trade surveillance at Meridian Wealth Partners reduced the risk of insider trading by a significant 75%.

KYC Compliance Improved by 60%: Automation Implementation

Automating KYC processes led to a 60% improvement in compliance, mitigating fraud risk and strengthening client onboarding at Elevate Wealth.

Legacy Bridge Achieves 95% Regulatory Exam Pass Rate

Patricia Brennan partnered with us to develop a tailored regulatory exam prep program, ensuring advisors passed their exams with flying colors.

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