Thought leadership and practical guidance from our compliance experts.
If you run or advise a registered investment adviser, you already know that the SEC's amended Regulation S-P represents more than a routine policy refresh. This guide is designed for lean RIA teams that need to operationalize these requirements in a credible, exam-ready way.
By ARS Team | RIA Compliance
Artificial intelligence is no longer a future consideration for municipal advisors. From AI-powered analytics platforms to generative tools that draft documents and model debt structures, the municipal market is quietly integrating AI into day-to-day operations. But that adoption brings real risk, particularly in a market as specialized as municipal finance.
By ARS Team | Municipal Advisory
The SEC's amended Marketing Rule has been in effect for a few years now. Most RIAs know it exists. And yet, when examiners walk in the door, they keep finding the same problems. Here is what the December 2025 Risk Alert found and what it means for your firm.
By ARS Team | RIA Compliance
Starting a municipal advisory firm can be a rewarding way to build a specialized financial services business and play a meaningful role in public finance. This practical guide covers everything from SEC and MSRB registration to licensing, compliance frameworks, and ongoing oversight.
By ARS Team | Getting Started
One of the most critical strategic decisions facing municipal advisory firms is how to structure their compliance function. Should you hire a dedicated in-house compliance officer, or partner with an experienced compliance consultant? The answer depends on your firm's size, complexity, growth trajectory, and resources.
By ARS Team | Compliance Strategy