Hadrius

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2025 SEC priorities just dropped! Each year we get a picture into the SEC's view of the biggest risks in the securities industry and where they'll be directing their attention. Critical for investors, employees, and participants of all kinds in the securities industry, especially for compliance teams. Main themes: - Emerging Risks and Cybersecurity: The SEC will focus heavily on the security of sensitive financial data, addressing potential risks related to cyber threats and technology vulnerabilities. - Retail Investors: The protection of retail investors remains a significant priority. This includes monitoring firms' sales practices, ensuring that firms comply with disclosure requirements, and preventing conflicts of interest that may harm these investors. - Environmental, Social, and Governance (ESG): ESG-related disclosures and investments are under heightened scrutiny to ensure accuracy and prevent misleading claims. - Private Funds and Investment Advisers: The SEC will closely examine private funds and advisers, focusing on areas like fee transparency and conflicts of interest. - Crypto and Digital Assets: Given the volatility and regulatory challenges in this space, crypto assets will remain a top priority, with examinations ensuring compliance with applicable rules and safeguarding against fraud. Big year ahead coming off what looks to be a soft landing following a hot market and a shaky year+. Looks like the SEC will be keeping busy (full report in the comments)

Welcome Daniel Avnieli, let's do this!

Compliance = boring (?) Compliance is seen boring at best, as a hassle to many, even the word is a bit offensive to some. Why is that? Because the default way compliance is done 𝘀𝘂𝗰𝗸𝘀. That's actually true. Does anyone deny that? To be clear though: it's not compliance that's the problem, it's the vehicle it's delivered in. The current tools, the processes, the checkboxes. Even CCOs acknowledge this. Compliance is about alignment at it's core. It's not about checkboxes or the clunky software you're stuck in a long contract with (or in a forced migration to 😉). It's about aligning the team, the firm, and society - this last piece is that "regulation". When you use the tools and processes focused on alignment first, you notice the difference and your team does too. That's what we do.

Some of the biggest firms in the world use Hadrius now 🚀 We already secure $400B+ in AUM across our clients, but it's looking like we'll be crossing $1T before the New Year. Why is this happening? Compliance is the MOST painful at the biggest firms. It's all the same challenges amplified at scale. Importantly though the problems at large firms aren't linearly worse (10x the people so 10x the challenge), they're quadratically worse (10x the people is 100x the challenge) because compliance is always a challenge of aligning people. Even still, many of these firms are held hostage by old-guard software more interested in rent-seeking than improvement. Still impossible to stop the inevitable. The world is going to look very different in a few years when compliance is truly effortless. Imagine the innovation that will allow. Come build it with us.

Exclusive Webinar with Sander Ressler and Jamie Schlag, CRCP®, CAMS from Essential Edge Compliance Outsourcing Services, LLC as well as Hadrius' very own Ryan Stevenson 𝗪𝗵𝘆 𝗬𝗼𝘂 𝗦𝗵𝗼𝘂𝗹𝗱 𝗝𝗼𝗶𝗻: Originally set for 45 minutes, the session is now an hour packed with critical insights on: Compliance Budget Trends • Next Year's Regulatory Forecast • AI in Compliance • Managing Off-Channel Communications • Cybersecurity Best Practices • Branch Office Inspections    You’ll walk away with the tools to navigate the ever-changing compliance landscape. 𝗦𝗽𝗼𝘁𝘀 𝗔𝗿𝗲 𝗟𝗶𝗺𝗶𝘁𝗲𝗱—𝗥𝗲𝗴𝗶𝘀𝘁𝗲𝗿 𝗡𝗼𝘄! We only have 100 seats, and they’re filling up fast! Join us on September 25th at 1:00 PM Eastern for this can’t-miss event. 👉 𝗥𝗲𝗴𝗶𝘀𝘁𝗲𝗿 𝗛𝗲𝗿𝗲: https://lnkd.in/djK2ymSf Feel free to share this with your colleagues—don’t miss the chance to secure your spot!

There's a chance your firm will receive an enforcement action in the next 12 months. Each year, regulators fine financial firms a cumulative billions and billions of dollars. These are firms with compliance teams and compliance software, with a routine they follow to catch these issues, and yet they still got fined. How can you avoid the same fate? Join us for an exclusive webinar where we’ll explore the critical areas where firms often stumble. Want to get the most out of this session? Tell us which compliance challenges you’re facing right now, and we might just address them live! 🔍 Shielding Your Firm: Identifying and Mitigating Compliance Weak Points 📅 When: Tuesday, September 25th @ 1:30 PM ET 🎙️ Featuring: Industry Experts Sander Ressler, Jamie Schlag, CRCP®, CAMS , and Ryan Stevenson, with a combined 40+ years of financial compliance experience. With regulatory changes accelerating, can you confidently say your compliance program is airtight? 👉 Submit your topic suggestion here: https://lnkd.in/dC3sUe-w 🔗 Register now: https://lnkd.in/djK2ymSf

It's harder and harder to keep up with demand at Hadrius, want to jump on the rocketship? We're hiring 2 new roles asap: 🚀 • Customer Success Engineer: https://lnkd.in/dbwBG7fp • Account Executive: https://lnkd.in/dHm2FiSv We're working double time just to keep up with new customer implementations and new demos, so these are critical roles where you'll be hitting the ground running fast with a team that collaborates like no other. Join us in NYC!

🏈 Now that football season is in full swing, it’s time to kick off your search for major time savings in your compliance program! 🏈 With our FREE trial of Hadrius, you'll be scoring touchdowns in efficiency and reclaiming 19+ hours a week. Don’t fumble this opportunity—get in touch today!

🚀 Exciting update 🚀 David Oyeka is the latest addition to the team as a founding software engineer and already killing it. He's been in startups and the financial world his entire career, from Goldman Sachs to sports betting startup Novig, even cofounded a startup while at Brown University. He's been making some crazy upgrades to our AI powered marketing review, making it faster and smarter for over 100+ compliance teams on Hadrius. Welcome to the team David!