COMPLY

2025 is already set to be a year of monumental change within the regulatory compliance landscape. As President Trump takes office and a new Chair takes the helm of the SEC, many anticipate a dramatic shift for the industry. But what exactly does that mean for you firm? Join COMPLY Chief Regulatory Officer Jamila Abston Mayfield, VP of Private Funds Consulting Mederic Daigneault, Esq., and Investment Adviser Association General Counsel and Head of Public Policy Gail Bernstein to find out during our live webinar! Reserve your spot now: https://lnkd.in/eEfAzDcp #ComplianceEducation #COMPLYwithConfidence

Phew! You made it through another year of compliance. 2024 brought a wave of new #SEC policies, proposals, and enforcement actions. 🌊 COMPLY’s 2024 A Compliance Year in Review U.S. Edition infographic highlights the key compliance happenings from the past 12 months. Download your copy now to relive the rollercoaster: https://lnkd.in/evxbSgYD #COMPLYwithConfidence

🎇 From everyone here at #TeamCOMPLY, Happy New Year. 🎇 A huge thanks to our clients, partners, and everyone else who made 2024 such an outstanding year. Who's ready to see what 2025 has in store? #NewYear #HappyNewYear #LifeatCOMPLY

And that's a wrap! 2024 showed us just how critical regulatory compliance is for ensuring the integrity of our financial systems and underscored the importance of the dedicated compliance heroes who work tirelessly to protect their firms, clients and investors. Thank you COMPLY customers, partners and employees - we look forward to working ushering in a new year, a new administration, and undoubtedly, new regulations with you! Check out the TL;DR on what we learned in 2024.

2024: The year that taught us to expect the unexpected. Navigating compliance was a wild ride that required innovative resources, a keen understanding of upcoming priorities, and the adaptability to adjust your compliance strategy at a moment’s notice. And COMPLY was there through it all! Check out the top resources that got firms through 2024…with best practices you can carry into 2025 and beyond. Read more: https://lnkd.in/exbJQH9u #COMPLYwithConfidence

Compliance teams, listen up! 🚨 The SEC set a new record in 2024, issuing $8.2 billion in fines and penalties. But that wasn't the only time the SEC made headlines this past year. From record-breaking enforcements to new rules and requirements, it seemed like almost every day a new story turned the news cycle upside down and brought new compliance challenges to the forefront of the industry. Check out our recap of the biggest SEC headlines from 2024, and our best practices to help you avoid the fines and fallout as we head into 2025. Read more: https://lnkd.in/eiax9haE #ComplianceNews #SEC #COMPLYwithConfidence

2025 is the year of the Compliance Chameleon! Between navigating AML, Reg BI, off-channel communications, and so much more, our experts predict the coming months will require compliance professionals to adapt and adjust like never before. COMPLY's 2025 Compliance Predictions Broker-Dealer Edition offers unparalleled insights into predictions that will impact the entire industry, as well as predictions specific to broker-dealers like yours. Grab your copy: https://lnkd.in/e9q73S4v #BrokerDealer #COMPLYwithConfidence

You're a legend! 🏆 You survived another year of compliance. From the #FCA's introduction of headline-making policies and consultation papers to steep enforcements and fines, 2024 has been a wild year. COMPLY’s 2024 A Compliance Year in Review FCA Edition infographic highlights the many ups and downs of compliance over the past 12 months. Download your copy now to relive the rollercoaster: https://lnkd.in/eZmrx2u8 #COMPLYwithConfidence

2024 was no joke. And as we look back at all the compliance headlines and trends, spanning everything from regulatory rollback to the ongoing focus on off-channel communications, it's clear this year was one for the recordbooks. What other compliance trends made the list? Check out Financial Planning's recent article for their round-up of the top 5 major compliance trends in 2024. https://lnkd.in/erV4A5xk #SEC #ComplianceNews

From everyone here at #TeamCOMPLY, thank you for your continued support and partnership throughout the year. We hope you have a chance to relax, recharge, and enjoy the season. ❄️⛄ #HappyHolidays #HolidayCheer #LifeatCOMPLY