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Regulatory Round Up

Regulatory Round Up - March 2025

by True West

Mar 05 2025

1:05

Staying Ahead: Key Compliance Updates for March

Although several changes are happening within the SEC, firms need to continue to stay proactive in managing compliance risks.

This month, our key topics include:

Marketing on Exams: The SEC continues to scrutinize advertising, a firm's training program, and compliance procedures.
SEC Leadership Changes: A potential shift in priorities could impact enforcement and regulation.
Cyber & Emerging Technology Oversight: The SEC’s new unit targets fraud, AI risks, and cybersecurity compliance.
Compliance Manual Updates: Annual reviews and AI-related policies are more crucial than ever.

With regulatory expectations evolving, now is the time to review policies, enhance oversight, and ensure your firm is prepared. Read the full newsletter to stay ahead of the latest developments!

Stay compliant and proactive with your policies and procedures

For detailed guidance and tailored compliance tools, become a client and access our full monthly Regulatory Round-Up.

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Regulatory Round Up (20)
Meet the Team (16)
News (6)
Women in Finance (4)
RIA Compliance (3)

September 2025 (2)
August 2025 (1)
July 2025 (1)
June 2025 (2)
May 2025 (2)
April 2025 (1)
March 2025 (1)
February 2025 (1)
January 2025 (2)
December 2024 (1)
November 2024 (1)
October 2024 (7)
September 2024 (8)
August 2024 (4)
July 2024 (4)
June 2024 (8)
May 2024 (1)
April 2024 (1)
March 2024 (1)
February 2024 (1)
January 2024 (1)

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Nancy Harry

Founder

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.

Kari Thiessen

Founder

Kari is a founding Member at True West. She brings nearly 30 years of experience in the financial services industry with a history in regulatory tax compliance, tax planning, economics and supply chain consulting. Kari takes pride in developing practical and innovative solutions for clients. Kari brings a broad and deep set of skills for any business, corporate or single person shop.

Sigrid Alegria

Associate

Sigrid is an Associate at True West Consulting, bringing with her nearly a decade of experience in the legal and compliance sectors. Her background includes roles as an in-house compliance associate, as well as experience with prominent firms such as Goldman Sachs & Co. Sigrid has developed a strong expertise in regulatory compliance, with a particular focus on evolving Registered Investment Advisor (RIA) regulations. At True West, she leverages her comprehensive knowledge to provide operational support to a diverse range of clients, helping them navigate complex compliance challenges and stay ahead of regulatory changes."

Caroline Iannucci

Associate

Caroline is a Compliance Associate at True West. Caroline brings with her 10 years of Wall Street experience and broad based knowledge of the financial markets. As an institutional equity salesperson, she covered both hedge funds and mutual funds, specializing in public equities and private stock offerings.

Carliss Marshall

Associate

Carliss is a Compliance Associate at True West Consulting with six plus years of compliance experience. She has worked both as a member of an in-house compliance team and as a compliance consultant responsible for multiple clients. Carliss has experience in a variety of compliance focus areas, with extensive experience in regulatory filings. She has worked with both registered and unregistered investment advisory firms, ensuring all aspects of their compliance programs run smoothly and all regulatory requirements are met.

Sara Sparks

Consultant

Sara is a seasoned Compliance Consultant at True West specializing in registered investment advisory firms. She offers guidance and best practices on constantly changing securities division regulations and ensures firms are prepared for regulatory examinations. Sara has experience with newly registered firms and well-established firms. She assists firms with developing and maintaining a robust compliance program through guidance of policies and procedures, risk assessments, and performing day-to-day compliance duties.

Tammy Steffen

Associate

As a Compliance Consultant/Associate with True West Consulting, Tammy brings 39 years of experience throughout the financial services industry. With extensive experience in compliance procedures and policies, operations, and supervision, Tammy has worked with Broker-Dealer, and Registered Advisory firms to bolster and enhance their operations and compliance programs.

Hugh Simpson

Consultant

Hugh Simpson is a skilled professional in the financial services industry, with a deep background in the areas of legal, compliance, internal audit, enterprise risk management, corporate governance and government relations. He recently completed a 33-year stint as Executive Vice President – General Counsel and Corporate Secretary of two significant Fort Worth-based financial services companies. Prior to that he was a partner in the Corporate and Securities Section of one of the oldest and largest law firms in Fort Worth. Hugh now consults on a variety of issues in the financial services space. He takes a sensible, solutions-oriented approach to risk management, promotes effective corporate governance, and upholds high ethical standards.

Aaron Payne

Consultant

Aaron Payne is an IT Infrastructure and Cybersecurity specialist with deep experience leading technology transformation efforts within the financial services sector. In recent years, he has helped RIAs and FMOs modernize disjointed and outdated IT environments - bringing them into alignment with regulatory expectations and operational best practices. His work focuses on building secure, well-governed systems that support business growth, reduce risk, and hold up under regulatory and audit scrutiny.

David Lewien

CEO - Go West IT

David Lewien is the founder and CEO of Go West IT in Greenwood Village, Colorado. Founded in 2010, Go West IT is the security obsessed Managed Service Provider that expertly guides businesses to opportunity and protects them from harm in the digital frontier.

Mark Brown

Founder - Advisor Armor

Mark Brown is the founder of Advisor Armor

Bridget Katz

Project Manager and Onboarding Associate

As a Project Manager and Onboarding Associate with True West, Bridget brings over 20 years of extensive experience in the financial industry, specializing in serving large RIAs and their high-net-worth clients. In addition to serving RIAs, she led the onboarding advisor experience for a TAMP, demonstrating her expertise in streamlining client and advisor onboarding processes. Passionate about delivering end-to-end onboarding solutions, Bridget has successfully managed onboarding for multiple RIAs, supporting hundreds of users by ensuring seamless system access, compliance, and comprehensive training. Additionally, she has overseen client service operations, optimized systems, and aligned departmental efforts to ensure every client interaction reflects the highest standards of service.

Anna Burdine

Associate

Anna is a Compliance Associate at True West Consulting with five years of compliance experience. She is an accomplished financial services professional with a strong background in compliance, supervision, and advisor support on the broker dealer side of business. Prior to her current role, she worked at LPL Financial as a supervisory principal on the advisor review team where she held her Series 7 and 24 licenses. Now with Trust West, she is excited to draw on her broad industry expertise as she transitions to supporting RIAs.

Regulatory Round Up - March 2025

Stay compliant and proactive with your policies and procedures

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