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By Ralph Magee

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GRC Software That Focuses Your Team: Why Risk Assessments Matter 

In today’s regulatory environment, firms cannot afford to let compliance operate in silos or rely on manual processes. Governance, Risk, and Compliance (GRC) software exists to bring structure and focus to complex obligations, ensuring that teams spend their time on the activities that truly matter. At the center of this framework is the risk assessment—a […]

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FINOP Red Flags and Focus  Areas

For broker-dealers, regulatory exams are a fact of life. How well you prepare often determines whether your firm emerges with a clean report or faces scrutiny, fines, or even enforcement actions. One of the most critical areas of regulatory focus is financial and operational compliance, making the Financial and Operations Principal (FINOP) a key player […]

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Reg BI and Fiduciary Obligations

Taking Standards of Care from Policy to Practice In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. The episode […]

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