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

Automated KYC Process Cuts Onboarding Time by 40% at NHF

Streamlining Know Your Customer (KYC) processes is crucial. Learn how automation reduced client onboarding time by 40% at New Horizons.

Automated Reg BI Implementation Saves $15,000 Annually

Automated processes for Reg BI compliance, saving Granite Peak Advisors an estimated $15,000 annually in manual review costs. Improved regulatory adherence.

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Automated Trade Surveillance Flags 8 Potential Insider Trading Events

Implemented automated trade surveillance system, improving detection and prevention of potential insider trading at Rossi Family Office.

Avoiding Legal Action: Improved Documentation Saves $60K

Enhanced documentation practices helped Vanguard Point Advisors avoid a potential $60,000 legal settlement with a former client.

Boost Advisor Retention 12% via Social Media Compliance Policy

Developed compliant social media guidelines enabling Granite Peak's advisors to expand their reach without compliance violations. Improved social media marketing.

Boosted Advertising Review Efficiency by 50%: FINRA Compliance

Improved advertising review efficiency by 50% for Reeves Institutional by designing a streamlined, FINRA-compliant review process and workflow.

Boosted Regulatory Exam Scores by 25% with Training

A targeted training program improved advisors' understanding of regulatory requirements, leading to significantly higher regulatory exam scores.

Boosting Client Retention: Data Breach Prevention Yields 98% Loyalty

Strengthened cybersecurity measures at Vanguard Point boosted client confidence, resulting in a 98% client retention rate. See the plan.

Boosting Client Trust: 99% Transparency with Fees

Santos Financial increased client trust with 99% transparency in fee disclosures, leading to better relationships. Openness builds confidence.

Business Continuity Plan Enhances Client Retention by 5%

A solid business continuity plan inspires confidence. Learn how New Horizons increased client retention by 5% with theirs.

Business Continuity Plan Tested: 100% Recovery Success

Ensure business resilience. Learn how a tested business continuity plan at Pacific Ridge guaranteed 100% data and operations recovery.

Claire Montgomery Achieves 99% Form CRS Delivery Rate

Automated Form CRS delivery system reached 99% of clients at Montgomery Retirement. Discover how to comply with Reg BI efficiently.

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