Navigating Regulatory Priorities in 2025 for Wealth Management Firms

Operational Efficiency in Wealth Management: Unlocking Growth Through AI and Automation

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.

Navigating Regulatory Priorities in 2025 for Wealth Management Firms

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.

Your Compliance Journey Should Begin with Avery by RegVerse!

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.

Revolutionizing Compliance: The Power of RegVerse

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

How Automation and AI are Transforming GRC 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

Avery - Here's What Your Next Compliance Partner Should Deliver

RegTech, leverages advanced technology to streamline compliance processes. RegTech applications feature built-in libraries containing relevant regulatory information, primarily for the financial services sector, aviation, gaming, and energy.

Know What Constitutes an ADV Material Change

Do you know what counts as a material change for your ADV? At RegVerse, we are here to help guide you on when your ADV may fall outside the annual filing and would need to be filed as a material change occurs.

Supervision of Outsourced Compliance

Do you have visibility into the tasks your outsourced compliance consultant completes to evidence adequate supervision?

Avery vs The DOL Rule

How much time will it take you to digest 476 pages of the DOL Retirement Security Rule?

How Do You Communicate With Clients?

Are you capturing all communications records you need for compliance with Rule 204? Don’t get caught short like other firms.

Empower Your Compliance Officer with Technology

The ability to provide your compliance officer efficiency is key to a resilient and adaptable compliance program.

Bitcoin ETFs and the CFTC?

The CFTC is looking to regulate the bitcoin industry. Are you in the know on current efforts?

RegVerse Newsletter (January 2024)

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.

RegVerse Named Finalist in the ThinkAdvisor Luminaries Awards 2024

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!

RegVerse, a Surge Ventures company, expands Avery with the Fusion1 suite to lead seamless compliance and surveillance

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

We Are Finalists in the 2024 Wealth Management Industry Awards

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.

Regulatory Priorities for Wealth Management in 2025: What Firms Need to Know

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.

What are Regulatory Compliances and how do they Impact You?

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

Building an Efficient WSP Management Framework for Wealth Management Firms

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

Use Cases for Appropriate Form Adv Fillings

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