July 7, 2026 The 2026 Risk and Compliance Return is not just another regulatory questionnaire. It may feel like one. […]
RCR submissions: Are we answering honestly, or optimistically? Read More »
June 19, 2026 Assumed compliance is one of the most common risks I encounter when working with businesses. Somewhere along
The risk of assumed compliance Read More »
May 25, 2026 One of the more interesting things about working with financial planning practices is seeing how businesses make
Informal Decision Making Can Be A Blind Spot For Your Business Read More »
May 4, 2026 Something I’ve been noticing more and more in practice is how easily accountability becomes a bit blurred
You can’t outsource accountability: What COFI changes for Reps and KIs Read More »
April 7, 2026 Most financial planning practices are compliant. At least… on paper. If the Implementation Gap is the distance
Compliance Theatre in Financial Planning Practices Read More »
March 2, 2026 Very few practices struggle to understand compliance requirements. The challenge starts when those requirements need to live
Compliance is clear. Implementation is where it gets messy. Read More »
January 28, 2026 Internal controls are often designed for ideal conditions. Clear desks. Plenty of time. Fully staffed teams. No
Why most internal controls fail under pressure Read More »
January 19, 2026 When governance is working well, very little draws attention to it. There are no emergencies. No escalations.
Why good governance often looks invisible Read More »
January 5, 2026 Compliance doesn’t usually fail because people don’t care. It fails because people are tired… Tired of remembering
Compliance fatigue is real, and it’s quietly costing you more than you think Read More »