COMPLYConnect

Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Join us October 14-16, 2025 at the Eden Roc Miami Beach!

[COMPLYConnect @complyconnect]

#SEC Chair Gary Gensler said he’s open to changing the agency’s proposed overhaul of Wall Street trading rules. While institutions have been quick to provide input, the regulator is interested in hearing from individual investors.

Learn more. https://t.co/gwMmrqMsjI

[COMPLYConnect @complyconnect]

Gary Gensler is stepping up warnings to asset managers about their use of predictive data analytics. Gensler said data technologies may create "inherent conflicts" of interest related to the duty that investment advisors have to their clients. Learn more. https://t.co/HMYD3D9NNR

[COMPLYConnect @complyconnect]

The SEC's Marketing Rule is the first overhaul of advertising rules since 1961. It allows investment advisers to use testimonials and endorsements for the first time, and generally gives them more latitude to sell themselves. 

Learn more. https://t.co/1DxEYAvF5b

[COMPLYConnect @complyconnect]

Michael Kitces’ Financial AdvisorTech Solutions Map showcases firms whose #fintech is designed to be used by financial advisers. As the map approaches its five-year anniversary it’s interesting to reflect on its development over time. Learn more. https://t.co/kxhOJQvFIg

[COMPLYConnect @complyconnect]

A federal court in Florida has struck down a DOL guidance which recommended rolling over retirement assets from a company plan to an IRA would trigger fiduciary duty requirements under the Employee Retirement Income Security Act.

Learn more. https://t.co/j58lrT7ieq

[COMPLYConnect @complyconnect]

According to a report by Fidelity, the market for acquiring RIAs got off to a slow start in 2023, as buyers and sellers weigh rising interest rates and high valuations for firms when doing the math on potential deals.

Learn more from @investmentnews. https://t.co/F0c6GWYvad

[COMPLYConnect @complyconnect]

The SEC has proposed a new rule which would require RIAs to hold all types of client assets with third-party custodians that meet certain investor-protection standards.

Learn more from @finplan. https://t.co/tL4ADpcIGH

[COMPLYConnect @complyconnect]

The FSI released its study regarding independent financial advisers’ response to the #DOL’s proposed independent contractor rule. The results from the study have some troubling implications for the financial landscape.

Learn more. https://t.co/cqibySMwKV

[COMPLYConnect @complyconnect]

The @SECGov adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date (T+2) to one (T+1).

Learn more. https://t.co/L0ChUahDSp

#SECregulations #SEC

[COMPLYConnect @complyconnect]

The DOL has proposed an independent contractor rule which would re-classify employee status for many. The proposal is meant to ensure people who should be classified as direct employees are not being improperly deemed independent contractors. Learn more. https://t.co/dF17bDhfnV

[COMPLYConnect @complyconnect]

It’s trendy in the investment adviser space to outsource portfolio management. This allows advisers to focus on other tasks which add value to their firm, like prospecting for new clients, while their clients’ needs are still being met. Learn more. https://t.co/xPpN7SkneP

[COMPLYConnect @complyconnect]

A recent Reuters report indicates the SEC has stepped up its probes of how RIAs manage digital assets like cryptocurrencies. However, the recent crypto collapse prompted the SEC to further scrutinize how RIAs handle #cryptocurrencies.

Learn more. https://t.co/CXN1o2mQel

[COMPLYConnect @complyconnect]

@FINRA recently published its 2023 report on its Examination and Risk Monitoring Program. The report draws attention to industry concerns for the next 12 months, such as manipulative trading, fair pricing of fixed income securities and more.

Learn more. https://t.co/eqnzC0lTY2

[COMPLYConnect @complyconnect]

The U.S. Department of Justice is expanding its leniency policies to persuade companies to report their own misconduct to prosecutors. These policies already exist, but the DOJ intends on applying them to a variety of white-collar matters.

Learn more. https://t.co/5aoqr3Ja3f

[COMPLYConnect @complyconnect]

The growing number of items which compliance teams must monitor has made tracking #regulatorycompliance disclosures more complicated. As the size of a firm grows, this task becomes even more difficult.

Here are a few tips to avoid disclosure violations. https://t.co/ROkmnvgBSk

[COMPLYConnect @complyconnect]

Despite the vast amount of time and expense put toward enhancing financial crime controls, many financial firms continue to be penalized by regulators for violating anti-money laundering regulations.

Here are a few lessons in preventing AML failures. https://t.co/PGkWm7mEPX

[COMPLYConnect @complyconnect]

With regulators and industry officials taking a new look at investment markets amid collapsing prices for stocks, bonds and everything else, 2022 was bound to be a big year for regulation. Here are some of the top regulations which impact financial firms. https://t.co/j4q1fwqYoB

[COMPLYConnect @complyconnect]

According to a PwC Pulse Survey, cyberattacks are a top concern. As more employees work from home on personal internet networks, there is a higher risk of data breaches. Here are tips financial firms can implement to protect themselves from cyberattacks. https://t.co/bi3BCog26f

[COMPLYConnect @complyconnect]

Fiscal year 2022 was a record year for the SEC with 760 enforcement actions. According to experts, the #SEC will focus on how firms use compliance consultants to help them manage their compliance programs. Learn more from @ThinkAdvisor. https://t.co/8xfTMGA27M

[COMPLYConnect @complyconnect]

The DOL set forth a regulation which would facilitate ESG principles in retirement investing. Following the revision, the regulation has seen great support from powerful organizations in the investment industry. Learn more from @investmentnews. https://t.co/K0Nvpfgtrs