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

Achieved 98% Advisor Retention via Improved Compliance

Streamlining compliance processes and providing clear guidance boosted advisor satisfaction and reduced attrition, resulting in higher retention rates.

Achieved Full Compliance Within 6 Months of New Rule

Luminary Wealth Partners achieved full compliance within 6 months of a new regulation. Explore their change management system.

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Achieving $340K Tax Savings Through Enhanced Fiduciary Documentation

Improved fiduciary documentation at Vanguard Point yielded $340K in tax savings for clients while strengthening compliance. Learn how.

Achieving 95% Email Archiving Compliance for Santos Financial

Learn how Santos Financial achieved 95% email archiving compliance, ensuring data security and regulatory adherence. Improved audit trails.

Advertising Workflow Cuts Compliance Violations by 60%

Designed compliant advertising workflows for fintech tools, minimizing risk of regulatory violations for Rossi Family Office Services.

ADV Filing: Saved 80 Hours Annually with Automation

Automated ADV filing for Reeves Institutional, saving 80 hours annually and ensuring accurate and timely submission to the SEC's Investment Adviser Public Disclosure (IAPD) system.

ADV Filing Time Reduced by 80 Hours Annually for Cornerstone

Cornerstone Advisory Group slashed their annual ADV filing time by 80 hours through strategic automation and process optimization.

AI-Driven Compliance Monitoring: 80% Alert Accuracy

Whitfield Tax & Wealth achieved 80% accuracy in compliance alerts with AI-driven monitoring, reducing false positives and focusing on genuine risks.

AI-Driven Trade Surveillance Reduces False Positives by 60%

Learn how AI-driven trade surveillance reduced false positives by 60% at Precision Financial Group.

Amelia Whitfield Achieves 40% Faster Onboarding with Enhanced KYC

Whitfield Tax & Wealth reduced onboarding time by 40% while strengthening KYC compliance, improving client experience and mitigating risk.

AML Program Enhanced: Reduces False Positives by 60%

Improve efficiency and reduce false alarms. See how Pacific Ridge's AML enhancements cut false positive alerts by 60%.

Automated ADV Filing Saves Lisa Tanaka 80 Hours Annually

Discover how automating ADV filing freed up 80 hours of Lisa Tanaka's time per year, allowing her to focus on client relationships.

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