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

85% Engagement in New Compliance Training Program

Created a highly engaging compliance training program that significantly improved Granite Peak's employee understanding of regulatory requirements. Improved staff knowledge.

90% Accuracy in Rule 17a-4 Compliance with Automation

See how Meridian Wealth Partners achieved 90% accuracy in Rule 17a-4 compliance by automating data storage and retrieval.

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90% Client Satisfaction With Simplified Disclosures

Revised client disclosures for clarity and transparency, resulting in a 90% client satisfaction rate. Improved client relationships.

90% Employee Satisfaction with Compliance Training

Learn how Pacific Gate Capital achieved 90% employee satisfaction with compliance training through engaging content and interactive sessions.

90% Faster Response: Streamlined Regulatory Inquiries

Santos Financial improved its regulatory inquiry response time by 90% with streamlined workflows. Preparedness is key.

90% Risk Reduction: Enhanced Regulatory Exam Preparedness

Enhanced regulatory exam preparedness for Reeves Institutional, resulting in a 90% reduction in potential risk areas identified during mock audits.

95% Accuracy: Automated Client Suitability Documentation

Automated client suitability documentation achieved 95% accuracy, reducing errors and ensuring compliance with suitability regulations at Elevate Wealth.

95% Advisor Compliance with Personal Trading Rules at PGC

Learn how Pacific Gate Capital achieved 95% advisor compliance with personal trading rules using automated pre-clearance monitoring. Reduced regulatory exposure.

95% Email Archiving Compliance Rate at Whitfield Tax

Whitfield Tax & Wealth achieved a 95% email archiving compliance rate, ensuring regulatory adherence and mitigating potential legal exposure.

95% Improved Trade Surveillance Alert Accuracy

Improved accuracy of Granite Peak Advisors' trade surveillance system, reducing false positives and enabling faster identification of suspicious activity. Improved compliance.

95% Positive Feedback: Enhanced Complaint Handling Protocol

Improved complaint handling at Reeves Institutional, achieving 95% positive feedback from clients and ensuring full compliance with regulatory guidelines.

98% Advisor Retention with Enhanced Compliance Support

Our compliance support led to a 98% advisor retention rate at Legacy Bridge, demonstrating the value of strong compliance programs.

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