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.
With 2025 underway, firms should be looking ahead and ensuring they’re prepared for the regulatory changes and enforcement trends shaping the year. The SEC and FINRA continue to emphasize fiduciary duty, cybersecurity, and marketing practices—areas that advisers can’t afford to overlook.
Here’s a preview of what you’ll find in our latest newsletter:
- A Note from our Founders: A reflection on 2024 and what's in store for 2025.
- Tech Corner: New this month, stay ahead of technology to assist in completing your testing and staying secure.
- Marketing Review: Key reminders and a guide to Google reviews.
- ADV Annual Amendment: The annual amendment filing is a top priority this month. Learn what updates your firm needs attention on in order to comply with the filing deadline.
With regulatory scrutiny increasing, now is the time to review your firm’s policies, ensure compliance with new rules, and reinforce best practices. Are you ready for 2025? Read the full post to stay informed and ahead of the curve!
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Regulatory Round Up - January 2025
Regulatory Round Up - January 2025
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Regulatory Round Up - February 2024
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Regulatory Round Up - March 2024
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