Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
As we ride deeper into 2025, it’s high time firms stay sharp in the saddle. The regulatory terrain is always shifting, and keeping your boots on solid ground means staying proactive, informed, and true to your fiduciary trail.
This month’s Round Up is packed with the insights you need to stay ahead:
This Month’s Trail Markers:
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Fiduciary Duty Focus: A trusty reminder of what it means to ride for your clients—acting in their best interest and keeping your firm’s culture rooted in integrity.
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Word from the Legal Corral: Common missteps in advisory agreements and how to keep your contracts buttoned-up and ready for any SEC showdown.
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Reg BI & Form CRS Trends: The SEC is keeping a close watch on firms’ compliance—learn how to keep your outfit on track.
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Q1 Trail Guide Recap: A look back at the Q1 landscape—what tools we have provided to clients.
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True West Tech Corner: Latest updates in the modern tools to help you wrangle your compliance challenges.
At True West, the best defense is a good offense. Saddle up with this month’s insights and stay one step ahead of the regulators—and the tumbleweeds.
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