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A Comprehensive Guide to Financial Compliance: Avoid Fines and Stay Ahead

Top tips and strategies for providing effective training and handling violations.

In recent years, the SEC and CFTC have been cracking down on financial firms for compliance failures, particularly in off-channel communications and recordkeeping. The consequences of non-compliance can be severe. In 2023, 16 firms were fined over $81 million for off-channel communications compliance failures alone.

With the SEC showing no signs of slowing down, it's crucial that your firm is prepared not only to comply with existing regulations but also to adapt to emerging ones. Without a firm grasp on the current and continued state of your firm’s compliance measures, you risk substantial fines, negative brand recognition, and a loss of client trust.

This guide aims to help you avoid all of that. It addresses the challenges that financial advisors like you deal with in the face of compliance crackdowns from the SEC, and how Enterprise Analytics – plus our handy checklist – can help you address each of them.

What's Inside

  • A comprehensive compliance checklist to avoid compliance violations (and those hefty fines)
  • Best practices for staying informed and up to date
  • How technology can make a night-and-day difference in handling compliance

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