Compliance Insights
Access compliance commentary from some of the industry’s leading consulting firms and attorneys. Clients can use their Schwab Advisor Center® credentials to download full white papers.
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Shifting Tides: Actionable Steps to Adapt Compliance Programs to Today's SEC Priorities
The SEC is undergoing a shift in tone and focus under new leadership—moving toward a pro-innovation, "back to basics" enforcement posture while continuing to expect robust compliance programs from investment advisors. Understanding what has changed, what has not, and how to respond without rebuilding your compliance program from the ground up is essential heading into the second half of 2026.
In the latest Compliance Review from Schwab, the authors offer actionable guidance to help advisors align their compliance programs with today's regulatory landscape.
Compliance Reviews
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Artificial Intelligence Compliance Considerations for Investment AdvisersAs AI continues to transform business practices, it is also prompting advisors to reassess their compliance programs. Although regulations specific to AI may be introduced in the future, the existing regulatory framework and fiduciary duties already applicable to advisers continue to apply to the use of AI.
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SEC vs. State Advisor Regulation: Key Considerations for Investment Advisers
Investment advisors face a complex regulatory landscape, and as firms grow, having an understanding of SEC and state rules can be helpful. While the core goals—investor protection, fair markets, and fiduciary standards—are shared, the rules and enforcement approaches can differ significantly.
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How Investment Advisors Can Prepare for an SEC Exam through Mock Exams and Other Best Practices
Taking a proactive approach can relieve the stress of an exam when it arrives through thorough preparation and knowing what to expect. Advisors that navigate exams most successfully are those that not only implement robust compliance programs but also understand the modern exam process and ensure their firms are ready when the time comes.
Read more Compliance Reviews
Read more Compliance Reviews
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