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.
Regulatory Round Up - January 2025
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Stay ahead of industry requirements and regulatory updates with this month’s insights. Here’s a preview of what you’ll find in our latest newsletter:
- ADV Annual Amendment: The annual amendment filing is a top priority this month…and quarter. Learn what updates your firm needs attention on in order to comply with the filing deadline.
- 2024 SEC Enforcement Recap: Reflect on notable enforcement actions from the past year and take note for the upcoming year!
- 13F-2 Filing Insights: Prepare for the SEC’s new reporting requirements under Rule 13f-2, effective this year, and what they mean for firms.
- 2025 Compliance Trail Guide: Discover the proactive approach to compliance with our 2025 roadmap.
This month’s newsletter also features:
- CCO tips from a former Chief Compliance Officer
- Key takeaways from SEC FAQs on Form ADV amendments
- A January task list to keep your compliance program on track
Don't miss these critical updates - reach out to access the full newsletter or subscribe today. Let's tackle 2025 with confidence!
Stay compliant and proactive with your policies and procedures
Stay compliant and proactive with your policies and procedures
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