As advisory firms prepare for the amended Regulation S-P requirements, cybersecurity is no longer just an IT issue. The SEC’s expectations increasingly focus on whether a firm’s written policies, vendor oversight, and public disclosures align with actual practice, with potential consequences that can reach the executive level. The attached guest article by Brian Hahn of MTradeCraft walks through the practical implications for firm leadership, including third-party risk (especially MSPs),...

Regulatory technology (“RegTech”) continues to evolve, and many advisory firms are reassessing how technology can support oversight, documentation, and risk management to help control compliance-related costs without requiring a proportional increase in internal staffing or manual effort. For some firms, manual processes remain workable. For others, increasing regulatory expectations, staffing constraints, and operational complexity are prompting a closer look at whether technology can...

Effective compliance programs stay ahead of regulatory developments rather than reacting to them at the last minute. Whether you are new to the team, experienced in the role, or somewhere in between, being proactive is a skill that helps protect clients, strengthen operations, and reduce exam-related surprises. Regulatory expectations evolve quickly, and firms that monitor updates in a structured way are far better positioned to adapt without disruption. Establish a Consistent Monitoring...