The trusted voice on SEC, FINRA and CFTC Oversight

Regulatory Compliance Watch is the leading source for authoritative answers to your toughest Investment Adviser, Private Fund, Broker-Dealer and CPO/CTA compliance questions.

Choose your plan

 

Team Access

For teams of 2-10, this plan offers group training, shared content access – ideal for collaborative learning and growing teams.

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Includes:
  • Access to group training
  • Special rates for early bird event delegate passes

Additional Benefits

  • A trusted resource used by compliance professionals for more than 25 years
  • 24-7 access to exclusive web content, including proven best practices from your peers
  • Quick links to guidance on hot compliance topics from AI to wrap accounts
  • Access to our editorial webinars
  • All rules growing out of the Investment Advisers Act
  • Tools you will use to make your job easier: from sample policies and procedures to due diligence questionnaires; templates to checklists; compliance manuals to required forms

Enterprise-Wide Access

For teams of 11 or more, this plan empowers organizations to scale intelligence and outperform.

Request a Demo
Includes:
  • 1:1 Training
  • Dedicated Client Services team
  • Superior pricing to PEI Group events, including NEXUS
  • Best rates for event delegate passes

Additional Benefits

  • A trusted resource used by compliance professionals for more than 25 years
  • 24-7 access to exclusive web content, including proven best practices from your peers
  • Quick links to guidance on hot compliance topics from AI to wrap accounts
  • Access to our editorial webinars
  • All rules growing out of the Investment Advisers Act
  • Tools you will use to make your job easier: from sample policies and procedures to due diligence questionnaires; templates to checklists; compliance manuals to required forms
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Trusted intelligence for compliance professionals

For Regulated Firms

Stay Ahead of Regulatory Change

Get timely updates on SEC, CFTC and FINRA actions, rules and guidance that impact your business.

Reduce Compliance Risk

Access expert analysis and enforcement summaries to strengthen your compliance framework.

Operate with Confidence

Use trusted intelligence to anticipate regulatory priorities and adapt faster than competitors.

For Advisors & Service Providers

Deliver Smarter Compliance Solutions

Stay informed on emerging regulatory trends shaping your clients’ strategies.

Win and Retain Clients

Demonstrate your expertise with up-to-date insights on enforcement activity and best practices.

Enhance Your Advisory Edge

Translate regulatory developments into clear, actionable guidance.

For Regulators & Policymakers

Track Industry Response in Real Time

Monitor how firms, advisers and service providers are interpreting and implementing new rules.

Benchmark Market Practices

Understand how regulation is shaping compliance operations and risk management across sectors.

Support Policy and Oversight Goals

Access trusted coverage and analysis to inform regulatory decisions and engagement strategies.

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