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

Supervisory Procedures Updated: 20% Improvement in Audit Scores

Discover how updated supervisory procedures at Meridian Wealth Partners led to a 20% improvement in internal audit scores.

Trading Pre-Clearance System: 90% Faster Approvals

Reduce manual effort and accelerate approvals. Automate personal trading pre-clearance for 90% faster response times.

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Vanguard Point Achieves 95% Exam Pass Rate With Enhanced Prep

Enhanced regulatory exam preparation led to a 95% pass rate for Vanguard Point Advisors, exceeding the industry average. Read how.

Vanguard Point Cuts KYC Onboarding Time by 40% with Automation

Automated KYC processes reduced client onboarding time by 40% at Vanguard Point, freeing up advisors for client relationship management.

Vanguard Point Reduces Email Archiving Costs by 30% with Cloud

Moving to a cloud-based email archiving solution reduced email storage and maintenance costs by 30% for Vanguard Point Advisors.

Vendor Due Diligence Cuts Risk: $50K in Avoided Penalties

A robust third-party vendor due diligence process helped Vanguard Point avoid $50,000 in potential penalties. Learn more.

Vendor Due Diligence Process Improves Security Scores by 30%

Enhanced third-party vendor due diligence, strengthening cybersecurity and mitigating operational risks for Rossi Family Office Services.

Whitfield Tax Reduces Regulatory Exam Prep Time by 30%

Whitfield Tax & Wealth decreased regulatory exam preparation time by 30% by implementing proactive compliance monitoring and reporting tools.

Zero Deficiencies Found: Books & Records Audit Implementation

Ensure accurate record-keeping. Discover how Pacific Ridge implemented a books and records system that resulted in zero audit deficiencies.

Zero Deficiencies: Perfect SEC Exam for Dr. Santos' Firm

Santos Financial passed an SEC exam with zero deficiencies through proactive compliance measures and meticulous record-keeping. Preparation matters.

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