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

Cybersecurity Program Exceeds SEC Requirements

We built a cybersecurity program exceeding SEC expectations, safeguarding client data and protecting Legacy Bridge from cyber threats.

Cybersecurity Program Meets SEC Expectations, Scores 95/100

Developed a cybersecurity program aligned with SEC guidance, enhancing data protection and safeguarding client assets at Rossi Family Office.

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Cybersecurity Program Upgrade Yields 30% Fewer Security Incidents

Learn how upgrading the cybersecurity program at Meridian resulted in a 30% decrease in reportable security incidents.

Data Breach Prevention: Achieved 99.9% Uptime Security

Learn how proactive data breach prevention strategies resulted in 99.9% uptime security at Precision Financial Group.

Decreased Client Complaints by 30% Through Better Handling

Improved client complaint handling procedures reduced escalations and fostered better relationships, leading to a significant decrease in complaints.

Diana Rossi Navigates GDPR with 99% Data Security Compliance

Ensured Rossi Family Office Services achieved near-perfect GDPR compliance by implementing robust data protection measures and protocols.

Disaster Recovery: 100% Data Restoration in 4 Hours

Whitfield Tax & Wealth achieved 100% data restoration within 4 hours after a simulated disaster, ensuring business continuity and client data protection.

Disaster Recovery: 90% System Recovery in Under 2 Hours

Luminary Wealth Partners achieved 90% system recovery in under 2 hours with their tested disaster recovery plan. See the plan.

Disaster Recovery Plan Tested: 99.9% Uptime Maintained

A rigorously tested disaster recovery plan ensured 99.9% uptime at Vanguard Point Advisors during a simulated event. Read more.

Disaster Recovery Plan Tested with 100% Success

Our tested disaster recovery plan guarantees Legacy Bridge can resume operations seamlessly, minimizing disruption during crises.

Dr. Santos Prevents $250K Fine: Personal Trading Compliance

Discover how Dr. Santos avoided a potential $250,000 fine by implementing a robust personal trading pre-clearance system. Safeguard your firm.

Elevate Wealth Achieves 99% Compliance Training Completion

Elevate Wealth Management successfully implemented a compliance training program, achieving near-perfect completion and strengthening risk management protocols.

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