The New Year is almost here! And if we learned anything from the past 12 months, it’s to expect the unexpected…and always have the resources to support ongoing compliance no matter what curve ball comes next.
Navigating the complexities of compliance in 2024 required innovative resources, a keen understanding of upcoming priorities, and the adaptability to adjust strategy at a moment’s notice. And COMPLY was there to support it all.
From checklists to guides to webinar recordings, let’s take a look at the top resources that got firms through 2024, with best practices you can carry into 2025 and beyond.
Top 10 Compliance Resources of 2024
1. The Ultimate New Registration Toolkit
Let’s face it, the registration process can be an arduous one. From the detailed requirements to the nuanced information needed by the SEC and state, registration is often overwhelming and can even a barrier to entry for those seeking to start their advisory firm.
The Ultimate New Registration Toolkit simplifies the registration process, with:
- Top Considerations When Becoming an RIA guide
- 11 Best Practices for Maintaining Compliance as a New RIA guide
- New Registration Checklist
We lean on our decades of expertise to not only offer a list of key requirements for registration insights into critical compliance considerations before registration and best practices for maintaining your RIA with confidence.
Registering in 2025? Let us handle your regulatory filing needs.
2. 2024-2025 Annual Review Guide
Every year, your annual review represents the culmination of the hard work and dedication you and your team put into your compliance program. However, it can often also be one of the most stressful times of year. Our 2024-2025 Annual Review Guide offers guidance through the annual review process with review tips, insights, and testing practices to ensure your firm completes a thorough review with confidence.
3. COMPLY’s Compliance Predictions
Each year has its trending topics and compliance challenges. What’s in store for 2025? Our experts have a few predictions.
Relying on decades of experience and an eagle eye on headlines and regulatory patterns, our experts lay out unparalleled predictions about what compliance trends will impact the entire industry. These predictions span 4 guides, including predictions for specific firm types.
These editions include:
In an ever-changing regulatory landscape, compliance teams need insights into upcoming trends, critical compliance challenges, and how to solve them. And that’s where a playbook can come in handy. Having sorted through thousands of headlines, news stories, and press releases, this guide includes:
- An assessment of new rules and trends in the industry like crypto and AI and more
- Major enforcement actions and what firms can learn
- Critical insights into the industry by experts, like Chief Product Officer David Bliss
5. How to File a Form ADV as a Hedge Fund
As a hedge fund, your primary focus is on achieving desirable results for your investors, which takes an immense amount of time, strategy, and expertise. While maintaining up-to-date compliance documents and procedures may not be at the top of your to-do list, your ability to operate successfully depends on the details of your firm’s compliance program.
As you continue maintaining and updating your hedge fund’s compliance program, let’s take a look at one of the most commonly filed compliance documents: Form ADV.
6. Gifts & Entertainment Compliance: What Financial Professionals Need to Know
Giving and receiving gifts is a common practice, when it comes to doing business. However, gift giving can get complicated when it comes to the world of compliance.
To help firms navigate this compliance challenge, we created the Gifts & Entertainment: What Financial Professionals Need to Know guide. In this guide, we’ve gathered insights on core regulations and best practices to help your firm ensure gifts and entertainment compliance.
7. Investment Adviser Industry Snapshot 2024
Co-published by the Investment Adviser Association (IAA) and COMPLY, the fourth edition of the report reimagines our Evolution Revolution report, which we published for the two decades through 2020.
This edition of Investment Adviser Industry Snapshot covers thorough analysis of the future of the industry, again painting a picture of a vibrant and vital industry. In this edition, we added:
- More easy-to-understand charts and tables of the promising industry trends
- Additional information about SEC-exempt reporting advisers for a comprehensive view of the industry
- More detail on state advisers
8. 5 Strategies to Build a Well-Balanced Compliance Program
In an ever-changing regulatory compliance landscape, the most effective compliance programs are comprehensive and ever evolving.
From archiving key communications to addressing cybersecurity risk management and more, the “5 Strategies to Build a Well-Balanced Compliance Program” webinar outlines strategies that round out your compliance program for continued success.
As of July 1, 2024, the SEC requires fund managers to file a Form N-PX. Regulatory filing can be challenging to navigate – especially new requirements.
However, we’ve simplified the Form N-PX with our “Understanding the SEC’s Form N-PX Requirements: A Guide for Fund Managers and Other Investment Advisers” blog post, offering guidance on who’s responsible for filing, when it’s necessary, and how COMPLY can help.
10. Annual RIA Firm Registration Renewal Season 2024-2025
With a new year comes a registration renewal season for many.
Our Annual RIA Firm Registration Renewal Season 2024-2025 infographic helps you stay on top of critical dates. This easy-to-follow infographic guides firms through what, when, and where of the registration renewal season.
Enhance Your Compliance Program with COMPLY
With a new year comes new compliance challenges. We have your back!
From COMPLY consulting to technology to education, we’re bound to have a solution or some combination to meet your compliance needs, reduce burden placed on your team, and increase efficiency.
With COMPLY as your partner in compliance, you can rest assured that you have the resources to COMPLY with confidence.
Ready to tackle your core compliance challenges head on in 2025? Let’s talk!