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

40% Faster Advisor Onboarding with Streamlined Compliance

Discover how Meridian Wealth Partners sped up advisor onboarding by 40% by streamlining compliance processes with new software.

40% Faster Client Onboarding with Automated Suitability Checks

Automated suitability assessments sped onboarding by 40% for Montgomery Retirement. Learn how to efficiently meet compliance requirements.

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40% Faster Client Onboarding with Form CRS Automation

See how automating Form CRS delivery and tracking led to a 40% faster client onboarding process for Santos Financial. Efficient & compliant.

40% Faster Compliance Training with Harrington's Personalized Platform

Improved compliance training effectiveness by delivering personalized modules and tracking progress automatically, leading to better knowledge retention.

40% Faster Onboarding: Automated Compliance Checks

Improve efficiency and client experience. Explore how automated compliance checks accelerated client onboarding by 40% at Pacific Ridge.

40% Faster Onboarding: Automated KYC for Cornerstone Advisory

Cornerstone Advisory Group improved client onboarding efficiency by 40% by implementing an automated Know Your Customer (KYC) process.

40% Faster Onboarding: Automating KYC for Reeves Institutional

Automated KYC compliance for Reeves Institutional, reducing onboarding time by 40% while enhancing regulatory adherence and client satisfaction.

40% Faster Onboarding with Automated KYC Compliance

Discover how automating KYC compliance sped up Pacific Gate Capital's client onboarding by 40%. Improved efficiency and client satisfaction.

40% Reduction in Compliance Costs: Automation Strategy

We helped Legacy Bridge reduce compliance costs by 40% by implementing automation strategies across key compliance functions.

75% Faster Audit Response Times with Centralized Data

Centralized compliance data cut audit response by 75% for Montgomery Retirement. Streamline your audit preparation and response process.

75% Faster Regulatory Change Implementation

Discover how Pacific Gate Capital implemented a regulatory change management system for 75% faster implementation and proactive compliance.

80 Hours Saved Annually: Automated ADV Filing Process

Automating ADV filing processes saved Elevate Wealth an estimated 80 hours annually, freeing up compliance staff for more strategic initiatives.

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