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

Legacy Bridge Reduced Vendor Risk by 60%

Our vendor due diligence program reduced risk by 60%, ensuring compliance across Patricia Brennan's third-party service providers.

Legacy Bridge Sees 30% Faster Advertising Review

Our advertising review process slashed review times by 30% and reduced compliance risks for Legacy Bridge and Patricia Brennan.

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Luminary Achieves 95% Complaint Resolution Rate with Enhanced System

Luminary Wealth Partners improved complaint resolution, ensuring compliance and client satisfaction. See how they achieved a 95% resolution rate.

Maintained Books & Records: Achieved 100% SEC Compliance

Ensured 100% compliance with SEC books and records requirements for Reeves Institutional by implementing an automated system and rigorous monitoring procedures.

Meridian Achieves 95% Complaint Resolution Rate via Centralized System

Learn how Sarah Chen at Meridian Wealth Partners boosted complaint resolution rates to 95% by implementing a centralized complaint management system.

Meridian Prevents $500K AML Fine with Enhanced Transaction Monitoring

Discover how enhanced transaction monitoring at Meridian Wealth Partners prevented a potential $500,000 fine for AML violations.

Mitigated Cyber Risk: Achieved 'Excellent' Cybersecurity Rating

Strengthened Reeves Institutional's cybersecurity posture, achieving an 'Excellent' rating and demonstrating commitment to protecting client data.

Mitigating Risk: Supervisory Procedure Updates Reduce Errors by 30%

Effective supervisory procedures minimize errors. Discover how New Horizons reduced errors by 30% through procedure updates.

Mock Audit Success: Ace Your Next Regulatory Exam

Luminary Wealth Partners improved their regulatory exam readiness through mock audits. See how they aced their last exam.

Montgomery Retirement Achieves 35% Reduction in Compliance Fines

Enhanced compliance training lowered fine incidence by 35%. See how Montgomery Retirement improved oversight and reduced regulatory penalties.

Montgomery Retirement Boosts KYC Compliance by 70%

Improved KYC processes increased compliance by 70% at Montgomery Retirement. Discover solutions for better client identification and verification.

Montgomery Retirement Reduces Social Media Risk by 60%

Social media compliance program cut violations by 60% at Montgomery Retirement. See the strategy for mitigating online risks and maintaining compliance.

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