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Regulatory Round Up

Regulatory Round Up - November 2024

by True West

Nov 05 2024

1:22

As we approach the end of 2024, it’s essential for RIAs and compliance professionals to stay on top of key regulatory developments. Our November newsletter dives into important updates, providing actionable insights to prepare your firm for upcoming regulatory priorities.

Highlights This Month:

November Focus: With filing deadlines and compliance requirements approaching, this section covers what you need to prioritize to close out the year smoothly.
2025 SEC Exam Priorities: A heads-up on what the SEC will be focusing on in the coming year’s exams. This information is crucial for proactive preparation and aligning your firm’s compliance program with SEC expectations.

Additionally, our newsletter discusses the SEC’s 13F filing obligations and the latest in Anti-Money Laundering (AML) practices to help you manage compliance effectively within your team.

For the full insights, reach out to us or subscribe to our newsletter! We’re here to help you navigate compliance with confidence.

Stay compliant and proactive with your policies and procedures

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Regulatory Round Up (18)
Meet the Team (15)
News (6)
Women in Finance (4)
RIA Compliance (3)

July 2025 (1)
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April 2025 (1)
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April 2024 (1)
March 2024 (1)
February 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.

Trish Gallagher

Associate

Trish is an Associate at True West. Trish embarked on her finance career at Fidelity Investments, where she spent three years and obtained her Series 63 and 7 certifications. Starting in customer service, she transitioned to the fraud department, driven by a passion for assisting others and staying updated on the dynamic regulations within the finance industry. Eager to explore new opportunities, she found her way to True West, where she serves as an Associate. Here, she is immersed in the world of compliance, while also contributing to operational support. Trish is excited to be part of this journey and looks forward to the growth and success of the firm.

Geoffrey Cullins

Chief Technology Officer

Geoffrey is Chief Technology Officer at True West. Geoffrey brings over 20 years of experience working in technology as a Software Engineer as well as a technology leader. His background includes companies of all sizes and stages of growth, from early-stage startups to Fortune 70 corporations. As a technology leader, his background includes ownership of the full scope of product design and development, from idea to delivery, managing large and complex cross-functional teams to successfully delivery value.

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.

Jim Smith

Consultant

Jim brings over 35 years of experience in the financial services industry, with both investment adviser and broker dealer (FINRA) experience. He has worked on various products, including separately managed accounts, private funds, exchange-traded funds (‘ETFs’), as well as mutual funds. He has had the opportunity to work at both large and small firms and has been an investment adviser and broker-dealer CCO. Mr. Smith also has extensive experience working with regulators including successfully managing numerous SEC examinations.

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.

Deshaunne Kurulak

Associate

Deshaunne Kurulak holds a degree in Marketing and has a background in education. After years of teaching, she has decided to transition into the world of compliance. Deshaunne's experience as an educator has equipped her with exceptional organizational skills and a keen eye for detail. Known for her methodical approach and dedication, she is excited to bring her talents to the compliance field. Deshaunne is committed to supporting clients in navigating regulatory landscapes and ensuring comprehensive compliance practices.

Stella Fenton

Intern

Andi Niederloh

Intern

Regulatory Round Up - November 2024

Stay compliant and proactive with your policies and procedures

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