Manual processes are time-consuming, error-prone, and costly. Join us for a 30-minute live demo webinar, where we’ll show you how our AI-powered compliance automation platform can transform your compliance management. April 17, 2025, 12:00-12:30 pm PT / 3:00-3:30 pm ET
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This whitepaper, geared toward financial leaders and compliance pros in wealth management firms, shares how they can lower their risk and optimize their regulatory compliance and cybersecurity compliance using a modern, AI-powered technology platform. Learn how Fusion1 by RegVerse enables wealth management firms to overcome their compliance challenges, lower their risk profile, and remain compliant in real time.
Manual processes are time-consuming, error-prone, and costly. Join us for a 30-minute live demo webinar, where we’ll show you how our AI-powered compliance automation platform can transform your compliance management. April 17, 2025, 12:00-12:30 pm PT / 3:00-3:30 pm ET
Wealth management firms are increasingly using automation and artificial intelligence (AI) in the rapidly changing wealth management sector to improve client experiences, streamline operations, and to maintain compliance.
Wealth management firms in 2025 are facing a swiftly changing regulatory landscape. The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) are heightening their focus on critical areas like Environmental, Social, and Governance (ESG) reporting, cybersecurity, and off-channel communication.
This whitepaper goes into detail about the top 4 regulatory priorities for 2025: Enhanced ESG Reporting, strengthened cybersecurity measures, off-channel communication compliance, and increased regulatory oversight and how firms can be ready.
The US federal, state, and local regulatory agencies periodically propose and enforce new laws and regulations related to financial and wealth management industries. Financial institutions often find it increasingly difficult to keep up with the dynamic nature of regulatory changes
the rapidly evolving financial services landscape, compliance is essential for maintaining operational integrity. Wealth management firms face constant scrutiny from regulatory bodies such as the SEC, FINRA, and State Boards
In the ever-evolving landscape of financial services, compliance is more critical than ever. Wealth management firms face a myriad of regulatory challenges that can change overnight, making it essential to have robust Written Supervisory Procedures (WSPs) in place.
Fusion1, a pioneering platform developed through collaboration among Surge Ventures portfolio companies, integrates OmnibusX and Avery. This groundbreaking solution streamlines compliance processes and enhances risk management
Governance, Risk, and Compliance (GRC) is a comprehensive approach used by organizations to manage their overall governance, risk management, and compliance at par with current regulations. Here’s a breakdown of each component of GRC
We are thrilled to share some exciting news—RegVerse, a flagship product of Surge Ventures, has been honored as a finalist in the prestigious ThinkAdvisor Luminaries Awards 2024!
Ensuring compliance with the Securities and Exchange Commission (SEC) requirements is critical. One of the key elements in maintaining transparency and protecting investors is the accurate filing and updating of Form ADV
Now that you have the ability to offer your clients Bitcoin ETFs, have you considered updating your ADV? These ETFs provide direct exposure to bitcoin through either spot prices or bitcoin futures which brings nuanced risk clients may not have experienced.
With natural disasters, cybersecurity risks, and infrastructure failures growing more frequent and more intense, what can an RIA do to ensure business continuity for their organization and for their clients?
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Did you know the SEC has changed your annual compliance program requirements for 2024? The SEC did so by adding just 4 words – "and document in writing" – to the Compliance Rule.
The Securities and Exchange Commission (SEC) has proposed new rules under 17 CFR Parts 240 and 275 that would require broker-dealers and investment advisers to take certain steps to address conflicts of interest associated with their use of predictive data analytics (PDA) and covered technologies to interact with investors.
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The adoption of AI raises important questions about responsible AI and its role in ensuring compliance excellence in the financial services industry.
Recognizing the dynamic nature of regulations and the increasing complexities involved, the adoption of automated solutions for various aspects of the compliance workflow has emerged as a game-changer.
2023 was the breakout year for generative AI and according to McKinsey & Company, all kinds of industries are increasing their exposure to AI tools, including financial services and wealth management.
Avery by RegVerse, the regulatory co-pilot, is designed to offer 24/7 personalized regulatory and enforcement action insights to minimize risk of non-compliance, all while saving time and money for SEC, FINRA and State Board regulated firms.
As wealth management continues to evolve, data privacy and governance have become crucial topics. These concerns not only pose significant compliance risks for your firm but also demand increasing attention and dedication.
Wealth management firms can gain numerous advantages from utilizing Regtech. It allows you to automate compliance procedures, enabling your business to meet regulatory obligations in various regions.
Wealth management firms are embracing regulation technology (RegTech) to ensure compliance. However, it's essential to conduct thorough research before partnering with a RegTech vendor.
Kickstart the year with crucial updates from the SEC on cybersecurity disclosure rules, insights on annual Form ADV updates, the latest in RIA compliance (plus a helpful checklist for starting a new RIA), info on the proposed AI Rule, and other top industry news.
We are thrilled to share some exciting news—RegVerse, a flagship product of Surge Ventures, has been honored as a finalist in the prestigious ThinkAdvisor Luminaries Awards 2024!
The award-winning Avery platform now includes Fusion1 - a comprehensive suite of AI-enabled automated workflow tools to increase the reliability and accuracy of RIA and Broker-Dealer compliance and surveillance programs
Exciting news just in! RegVerse has been named a finalist in the prestigious Wealth Management Industry Awards 2024. This accolade underscores our team's unwavering commitment to innovation and excellence. It's a testament to the dedication and hard work poured into every aspect of our efforts.
This whitepaper, geared toward financial leaders and compliance pros in wealth management firms, shares how they can lower their risk and optimize their regulatory compliance and cybersecurity compliance using a modern, AI-powered technology platform. Learn how Fusion1 by RegVerse enables wealth management firms to overcome their compliance challenges, lower their risk profile, and remain compliant in real time.
This whitepaper goes into detail about the top 4 regulatory priorities for 2025: Enhanced ESG Reporting, strengthened cybersecurity measures, off-channel communication compliance, and increased regulatory oversight and how firms can be ready.
The US federal, state, and local regulatory agencies periodically propose and enforce new laws and regulations related to financial and wealth management industries. Financial institutions often find it increasingly difficult to keep up with the dynamic nature of regulatory changes
the rapidly evolving financial services landscape, compliance is essential for maintaining operational integrity. Wealth management firms face constant scrutiny from regulatory bodies such as the SEC, FINRA, and State Boards
Ensuring compliance with the Securities and Exchange Commission (SEC) requirements is critical. One of the key elements in maintaining transparency and protecting investors is the accurate filing and updating of Form ADV
Manual processes are time-consuming, error-prone, and costly. Join us for a 30-minute live demo webinar, where we’ll show you how our AI-powered compliance automation platform can transform your compliance management. April 17, 2025, 12:00-12:30 pm PT / 3:00-3:30 pm ET
1300 El Camino Real Suite 100
Menlo Park, CA 94025
+1 650-294-8889
info@surgeventures.com