COMPLY

We couldn't have said it better ourselves Ann Hauerland, MBA! "We are in the business of supporting our clients every step of the way. Whether its helping them understand and maintain their compliance obligations, celebrating with them as they open their independent RIA, and always being there for them as their business evolves and grows." Interested in learning more about how we can help you COMPLY with confidence? Let's talk: https://lnkd.in/eq693Dg5 #COMPLYwithConfidence

Last week, FINRA held its Advertising Regulation Conference, providing the industry with updates and insights. One of the key focus areas? Social media influencers. "...staff pointed to widespread failures they uncovered during a sweep on firms’ uses of social media influencers. Among 15 firms and 1,300 communications the agency examined, 70 percent were out of compliance, said Stephanie Gregory, associate director of the complex review team in Finra’s advertising regulation department... As part of that sweep that started in 2021, Finra looked at the two ways firms work with influencers – hiring them for specific content or paying them for referrals. The latter of which is a bigger concern and is the area where the agency has focused its efforts." Read the full InvestmentNews article: https://lnkd.in/gadYiWRG

This election season, pay-to-play compliance is making headlines and creating complications for compliance teams. The good news? With the right resources, insights, and best practices, these pitfalls don't have to create problems for your firm. Download Best Practices For Effective Pay-To-Play Compliance for a full look at how you can avoid these compliance pitfalls, plus insights into: ▶️ How to put your pay-to-play policies into practice, ensuring your entire team understands the risks and the role they play in protecting your firm ▶️ Best practices to help you navigate regulatory hurdles with dexterity ▶️ Why automation could be your answer to the pay-to-play compliance conundrum Download Now: https://lnkd.in/eZcnYawx #paytoplay #SEC #COMPLYwithConfidence

Spotted: COMPLY team members Ann Hauerland, MBA, and Megan Campbell at the SEI Advisor Summit, sharing their expert insight and regulatory know-how with attendees. Interested in learning more about how COMPLY can help you navigate evolving compliance rules and requirements? Let's talk: https://lnkd.in/eq693Dg5 #COMPLYwithConfidence #COMPLY

Cybersecurity compliance a cause for concern? Between new rules, increasingly sophisticated cyber threats, and the rising costs of a cyber breach...it's enough to make any compliance professional's head spin. The good news? We're here to help. In our upcoming webinar, COMPLY Chief Technology Officer Helen Johnson and COMPLY Chief Product Officer David Bliss discuss the convergence of compliance and information technology, reframing the conversation around cybersecurity to provide tactical strategies to enhance your cybersecurity compliance efforts. Save your seat: https://lnkd.in/dGxF5GcN #cybersecurity #cybercompliance #cyber #COMPLYwithConfidence

Dear Compliance Officers, today we’re celebrating you! 🎉 Whether you’re navigating new rules, educating your team on critical policies, or analyzing the scope of compliance data to make strategic decisions for your firm, you manage it all! And that’s worth a little attention…especially on National Compliance Officer Day. While this day might only come once a year, as your trusted partner in compliance, we’re here every day to help you navigate compliance hurdles and stay ahead of the regulatory curve. Feeling the compliance crunch? Check out one of our most recent resources designed to help CCOs (just like you) solve the most common compliance challenges: https://lnkd.in/eYhC22tF #ComplianceOfficerDay #CCO #ComplianceOfficer #COMPLYwithConfidence

Making the move from manual processes to compliance automation? Ready to replace your homegrown systems? Looking for a new comprehensive technology solution? While the process will involve multiple steps, stakeholders, and decision-makers, getting started is as easy as hitting download. Get your copy of the Compliance Buyer's Guide for all the insights, tips, and best practices to help you select the right compliance solution vendor for your firm: https://lnkd.in/e7E4AYVE #COMPLYwithConfidence #Regtech

That's a wrap on Global RegTech Summit USA! This year, the COMPLY team was out in full force. Christopher Ahern led an in-depth demo on the COMPLY Platform, while Michael J. Stanton, Jeff Hilk, Arin Chassine, Wendy Werve, Trevor Vale, and Andy Ackerman were on-site to meet attendees, answer questions, and talk the latest and greatest in the world of regulatory compliance. A big thank you to FinTech Global for another fantastic event. Didn't have a chance to stop by our booth or check out our demo? Schedule time to speak with one of our experts: https://lnkd.in/eq693Dg5

Mark your calendars, set your alarm, and join us tomorrow at 2 p.m. Eastern for our September Modern COMPLYance Women Roundtable: Making a Mentor. Hear directly from COMPLY's Chief Market Officer Wendy Werve as she shares her expertise and insight on the power of mentorship, covering: ▶ Why mentorship is so beneficial, especially for compliance professionals ▶ The difference between a mentor, an advocate, a coach, and a role model ▶ How to establish a successful mentorship (including finding the right mentor, setting goals, and more) RSVP: https://lnkd.in/e3-gTSyG

"The Department of Labor is appealing two stays placed by Texas courts on its new fiduciary rule for retirement-related advice. The rule, released in April, was scheduled to take effect on Monday but was instead postponed by preliminary injunctions handed down in late July by a pair of federal district courts in Texas." Read the full Financial Planning article: https://lnkd.in/eVriTDmA #DOL #Fiduciary