The New Era of Compliance: How Modern RIAs Turn Risk Into Resilience

The SEC is setting a new standard – and RIAs can no longer rely on disconnected tools, static policies, or after-the-fact reviews. Top firms are rethinking compliance from the ground up. 

This quick read explores how modern RIAs are building compliance command centers that bring together employee oversight, risk assessments, personal trade monitoring, policy enforcement, and regulatory filings – all in one system. 

What’s the game-changer? 

Risk isn’t just something you document – it triggers policy updates, which drive attestations, workflows, and resolution across the entire compliance team. 

Inside, you’ll learn: 

• How real-time risk drives proactive policy and supervision
• What today’s compliance calendar should actually look like 
  
• How to modernize annual reviews, employee monitoring, and recordkeeping 
• Why regulators expect evidence of execution – not just intention

Compliance isn’t a checklist. It’s a living system.