by Jason Long | Jul 8, 2025 | Compliance
“If you think a compliance audit is boring, wait until you get a deficiency letter.” As usual, my disclaimer: I am not an attorney and I am certainly not your attorney. These are just examples of what you might do, and as always, get your attorney and compliance...
by Jason Long | Jul 8, 2025 | Compliance
The first time I ran a security audit on an accounting website, I thought, “How bad could it be? These guys are all about details, right?” Cut to me, staring at a dashboard lit up like a Christmas tree, realizing that half the plugins hadn’t seen an update since Obama...
by Jason Long | Jul 8, 2025 | Compliance
In March 2024, the SEC charged five investment advisory firms on website and online advertising rules. Their combined penalty? $200,000. These weren’t the Bernie Madoffs of the world—just regular firms who let a few “harmless” marketing claims slip through the cracks...
