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

Secured 98% Client Data Retention: Email Archiving for SEC Compliance

Developed a robust email archiving solution for Reeves Institutional, achieving 98% data retention and simplifying SEC regulatory compliance audits.

Social Media Compliance: 85% Reduction in Violations

Cornerstone Advisory Group experienced an 85% reduction in social media compliance violations by implementing a comprehensive monitoring program.

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Whitfield Tax & Wealth reduced social media compliance violations by 90% by implementing proactive monitoring and employee training programs.

Compliance Case Studies

Secured 98% Client Data Retention: Email Archiving for SEC Compliance

Social Media Compliance: 85% Reduction in Violations

Social Media Compliance: 90% Reduction in Violations

Social Media Compliance Workflow Cuts Review Time by 40%

Streamlined Form CRS Updates Yield 60% Faster Filing for Summit

Streamlined New Client Onboarding: 40% Faster Process

Successful Mock SEC Exam: 100% Corrective Action Completion

Summit Achieves 100% Accuracy in Regulatory Reporting

Summit Capital Achieves 95% Personal Trade Pre-Clearance Compliance

Summit Improves Client Suitability by 25% Through Tech

Summit's Mock Regulatory Exams Improve Scores by 20%

Supervisory Procedures Overhaul Cuts Audit Time by 30%