Non-compliance with regulatory standards can have serious repercussions in the highly regulated business environment of today. The hidden costs of non-compliance can be enormous, ranging from heavy fines to harm to one's reputation and a loss of client trust.
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Non-compliance with regulatory standards can have serious repercussions in the highly regulated business environment of today. The hidden costs of non-compliance can be enormous, ranging from heavy fines to harm to one's reputation and a loss of client trust.
This whitepaper, geared toward financial leaders and compliance pros in wealth management firms, shares how they can lower their risk and optimize their regulatory compliance and cybersecurity compliance using a modern, AI-powered technology platform. Learn how Fusion1 by RegVerse enables wealth management firms to overcome their compliance challenges, lower their risk profile, and remain compliant in real time.
Wealth management firms are increasingly using automation and artificial intelligence (AI) in the rapidly changing wealth management sector to improve client experiences, streamline operations, and to maintain compliance.
Wealth management firms in 2025 are facing a swiftly changing regulatory landscape. The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) are heightening their focus on critical areas like Environmental, Social, and Governance (ESG) reporting, cybersecurity, and off-channel communication.
This whitepaper goes into detail about the top 4 regulatory priorities for 2025: Enhanced ESG Reporting, strengthened cybersecurity measures, off-channel communication compliance, and increased regulatory oversight and how firms can be ready.
The US federal, state, and local regulatory agencies periodically propose and enforce new laws and regulations related to financial and wealth management industries. Financial institutions often find it increasingly difficult to keep up with the dynamic nature of regulatory changes
the rapidly evolving financial services landscape, compliance is essential for maintaining operational integrity. Wealth management firms face constant scrutiny from regulatory bodies such as the SEC, FINRA, and State Boards
In the ever-evolving landscape of financial services, compliance is more critical than ever. Wealth management firms face a myriad of regulatory challenges that can change overnight, making it essential to have robust Written Supervisory Procedures (WSPs) in place.
Fusion1, a pioneering platform developed through collaboration among Surge Ventures portfolio companies, integrates OmnibusX and Avery. This groundbreaking solution streamlines compliance processes and enhances risk management
Governance, Risk, and Compliance (GRC) is a comprehensive approach used by organizations to manage their overall governance, risk management, and compliance at par with current regulations. Here’s a breakdown of each component of GRC
We are thrilled to share some exciting news—RegVerse, a flagship product of Surge Ventures, has been honored as a finalist in the prestigious ThinkAdvisor Luminaries Awards 2024!
Ensuring compliance with the Securities and Exchange Commission (SEC) requirements is critical. One of the key elements in maintaining transparency and protecting investors is the accurate filing and updating of Form ADV
Non-compliance with regulatory standards can have serious repercussions in the highly regulated business environment of today. The hidden costs of non-compliance can be enormous, ranging from heavy fines to harm to one's reputation and a loss of client trust.
Wealth management firms are increasingly using automation and artificial intelligence (AI) in the rapidly changing wealth management sector to improve client experiences, streamline operations, and to maintain compliance.
Wealth management firms in 2025 are facing a swiftly changing regulatory landscape. The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) are heightening their focus on critical areas like Environmental, Social, and Governance (ESG) reporting, cybersecurity, and off-channel communication.
In the ever-evolving landscape of financial services, compliance is more critical than ever. Wealth management firms face a myriad of regulatory challenges that can change overnight, making it essential to have robust Written Supervisory Procedures (WSPs) in place.
Fusion1, a pioneering platform developed through collaboration among Surge Ventures portfolio companies, integrates OmnibusX and Avery. This groundbreaking solution streamlines compliance processes and enhances risk management
Governance, Risk, and Compliance (GRC) is a comprehensive approach used by organizations to manage their overall governance, risk management, and compliance at par with current regulations. Here’s a breakdown of each component of GRC
RegTech, leverages advanced technology to streamline compliance processes. RegTech applications feature built-in libraries containing relevant regulatory information, primarily for the financial services sector, aviation, gaming, and energy.
Do you know what counts as a material change for your ADV? At RegVerse, we are here to help guide you on when your ADV may fall outside the annual filing and would need to be filed as a material change occurs.
Do you have visibility into the tasks your outsourced compliance consultant completes to evidence adequate supervision?
How much time will it take you to digest 476 pages of the DOL Retirement Security Rule?
Are you capturing all communications records you need for compliance with Rule 204? Don’t get caught short like other firms.
The ability to provide your compliance officer efficiency is key to a resilient and adaptable compliance program.
Kickstart the year with crucial updates from the SEC on cybersecurity disclosure rules, insights on annual Form ADV updates, the latest in RIA compliance (plus a helpful checklist for starting a new RIA), info on the proposed AI Rule, and other top industry news.
We are thrilled to share some exciting news—RegVerse, a flagship product of Surge Ventures, has been honored as a finalist in the prestigious ThinkAdvisor Luminaries Awards 2024!
The award-winning Avery platform now includes Fusion1 - a comprehensive suite of AI-enabled automated workflow tools to increase the reliability and accuracy of RIA and Broker-Dealer compliance and surveillance programs
Exciting news just in! RegVerse has been named a finalist in the prestigious Wealth Management Industry Awards 2024. This accolade underscores our team's unwavering commitment to innovation and excellence. It's a testament to the dedication and hard work poured into every aspect of our efforts.
This whitepaper, geared toward financial leaders and compliance pros in wealth management firms, shares how they can lower their risk and optimize their regulatory compliance and cybersecurity compliance using a modern, AI-powered technology platform. Learn how Fusion1 by RegVerse enables wealth management firms to overcome their compliance challenges, lower their risk profile, and remain compliant in real time.
This whitepaper goes into detail about the top 4 regulatory priorities for 2025: Enhanced ESG Reporting, strengthened cybersecurity measures, off-channel communication compliance, and increased regulatory oversight and how firms can be ready.
The US federal, state, and local regulatory agencies periodically propose and enforce new laws and regulations related to financial and wealth management industries. Financial institutions often find it increasingly difficult to keep up with the dynamic nature of regulatory changes
the rapidly evolving financial services landscape, compliance is essential for maintaining operational integrity. Wealth management firms face constant scrutiny from regulatory bodies such as the SEC, FINRA, and State Boards
Ensuring compliance with the Securities and Exchange Commission (SEC) requirements is critical. One of the key elements in maintaining transparency and protecting investors is the accurate filing and updating of Form ADV
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Menlo Park, CA 94025
+1 650-294-8889
info@surgeventures.com