COMPLY

🎇 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

Many smaller RIAs and ERAs felt the compliance crunch this year and struggled to meet the pace of new regulations. But, 2025 could bring some relief -- and new opportunities for your firm! At COMPLY, our experts predict that next year, industry associations will encourage regulators to assess regulatory burden for smaller firms and make adjustments to help them keep pace. From increased efficiency to more time to create a culture of compliance, predictions like these could have notable implications for your firm. Download the RIA edition of COMPLY's 2025 Compliance Predictions for unparalleled insights into what 2025 might hold. Grab your copy: https://lnkd.in/e8kTt_4J #RIA #ERA #COMPLYwithConfidence

Between this year's enforcement actions and the numerous rule proposals, including the SEC's proposed AML rule, two things are clear: ➡️Regulators aren't letting up on the crackdown against money laundering and any illicit activities. ➡️You have a major role to play. As you take steps to protect your firm and the integrity of the market, you have to stay informed and quickly adapt as needed. Need a little extra insight? Grab COMPLY's 2025 Regulation Rundown -- your guide into rules from the #SEC, #FINRA, #DOL, and #NASAA and how they will likely impact your firm. Grab your copy now: https://lnkd.in/eDggwWfd #COMPLYwithConfidence #AML #FinCEN