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

Near-Perfect Form CRS Compliance: Zero Deficiencies

Elevate Wealth achieved near-perfect Form CRS compliance, receiving zero deficiencies during a recent internal audit, strengthening client trust.

New Horizons Achieves 98% Compliance Score on SEC Audit

Passing a regulatory audit requires meticulous preparation. Discover how New Horizons Financial achieved an exceptional 98% compliance score.

Back to All Case Studies

New Horizons Reduces Advertising Compliance Review Time by 50%

Advertising compliance requires efficiency. See how Rebecca Hayes cut review time in half using a new platform and process.

NHF Reduces False Positives in AML Screening by 15%

Anti-money laundering (AML) is crucial. See how New Horizons reduced false positives by 15% through refined parameters.

Pacific Gate Achieves 30% Reduction in Audit Findings

See how Pacific Gate Capital reduced audit findings by 30% by implementing a robust third-party vendor due diligence program. Improved compliance and risk mitigation.

Pacific Ridge Achieves 95% Compliance Score: SEC Audit Prep

Successfully navigate SEC audits. Discover how Pacific Ridge achieved a 95% compliance score through rigorous preparation and proactive risk management.

Passed SEC Audit With Zero Findings

Elevate Wealth successfully passed an SEC audit with zero findings, demonstrating a commitment to regulatory compliance and best practices.

Personal Trading Compliance: 99% Pre-Clearance Adherence

Luminary Wealth Partners achieved 99% adherence to personal trading pre-clearance. Explore their effective compliance measures.

Precision Financial Achieves 95% Compliance Score on SEC Audit

Learn how Precision Financial Group improved its compliance score by 95% through proactive audit preparation and documentation.

Reduced Advertising Review Time by 50% with Fintech Tool

See how Pacific Gate Capital reduced advertising review time by 50% using a fintech tool, ensuring compliant marketing and faster launch cycles.

Reduced Audit Findings by 40% Via Advanced Technology

Summit Capital decreased audit findings by 40% using advanced tech. Advisor: David Park.

Reduced Audit Time by 30% with Centralized System

A centralized compliance management system reduced audit preparation time by 30%, enhancing efficiency and reducing compliance costs at Elevate.

PreviousPage 13 of 16Next

Stay Ahead

Get Compliance Insights

Join 2,000+ advisors receiving our latest benchmarks and tools.

Explore Categories

Lead Gen2781 Client Service2229 Retention289 Compliance190 Practice Management170 Client Onboarding128 Tax Planning79 Estate & Succession70 Niche Specialization49 Charitable Giving27

Why Golden Door?

Institutional-grade research standards
Data-driven benchmarks from 50+ firms
Actionable playbooks, not just theory