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

Claire Montgomery Improves Data Security with 80% Encryption

Improved encryption practices protected 80% more client data at Montgomery Retirement. Learn about strengthening cybersecurity.

Claire Montgomery Secures 95% Approval Rate on Advertising

Automated ad review process increased approval rate to 95% at Montgomery Retirement. Discover the solution for faster, compliant marketing.

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Complaint Handling System Reduces Response Time by 50%

Optimized complaint handling procedures to improve client satisfaction and ensure regulatory compliance at Rossi Family Office Services.

Compliant Social Media Marketing: 30% Increase in Leads

See how Precision Financial increased leads by 30% while maintaining full compliance with social media regulations.

Cornerstone Achieves 95% Compliance Score via Fiduciary Rule Documentation

Cornerstone Advisory Group elevated their fiduciary compliance and client trust with a robust documentation system, scoring 95% on a recent audit.

Cornerstone Reduces False Positives by 60% in Trade Surveillance

Cornerstone Advisory Group reduced false positives in their trade surveillance alerts by 60%, improving the efficiency of their compliance team.

Cut Advertising Review Time by 40% with Automation

Automating the advertising review process significantly reduced review times, allowing for faster campaign launches and improved marketing efficiency.

Cut Cybersecurity Risk by 60% With New Program

Developed a comprehensive cybersecurity program that reduced Granite Peak's overall risk exposure by 60%. Improved data security.

Cut Regulatory Reporting Time by 50% with Automation

Automating regulatory reporting processes reduced manual effort and errors, freeing up compliance staff to focus on higher-value activities.

Cutting Audit Time in Half: AI Compliance Monitoring Improves Efficiency

Implemented AI-driven compliance monitoring across Vanguard Point, reducing audit preparation time by 50%. Streamlining the process.

Cutting Training Costs by 20%: Luminary's Online Compliance Program

Luminary Wealth Partners cut training costs by 20% with an online compliance program. Learn about their engaging solution.

Cybersecurity Program Cuts Risk by 75% at Santos Financial

Santos Financial reduced cybersecurity risk by 75% by developing a comprehensive program meeting SEC standards. Protect client data.

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