Regulatory Round Up - September 2025

As September rolls in, it’s the perfect season to put compliance training front and center. A strong compliance program depends on more than policies - it thrives when every team member understands their role in keeping the firm on track. This month, we’re focusing on the annual compliance meeting, giving you the tool and template to run this year’s session that’s not only thorough but engaging and effective in covering all the topics for 2025. 

Our September Round Up delivers the tools you need to make compliance training count, conduct a successful annual meeting, and keep your firm sharp and ready for the road ahead 

This Month’s Trail Markers: 

• Compliance Training: Training isn’t just a regulatory requirement - it’s an opportunity to strengthen your firm’s culture of compliance each year.  
  

•  Annual Compliance Meeting Template: Your annual meeting sets the   tone for the year ahead. This month’s template provides a clear   roadmap to guide your session in Q4. 
   
• Focus on educating on reporting Outside Business Activities (OBA): OBAs are a frequent focus during exams - and a common source of compliance missteps. Firms should ensure that all employees understand: Disclosure Requirements, Conflict Awareness, Ongoing Oversight.  

At True West, we believe compliance training is your compass on the trail -keeping your firm steady, your people prepared, and your regulators confident. So, saddle up, roll out that meeting template, and lead your firm through a training season that strengthens the whole herd in 2025.