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Perspectives on recordkeeping, supervision, and the everyday work of financial services.
Why communication capture, supervisory review, and everyday workflows all matter to a defensible recordkeeping posture.
Mark OpilaFeb 19, 2026 8 min readIdeas and practical perspectives
for a changing industry.
Introduction — Most Compliance Failures Don’t Start With Bad Policies During an SEC exam, a registered investment adviser was asked to walk through the firm's…
Introduction — The Vendor You Trust Is Now Part of Your Compliance Program During a routine SEC exam, the CCO at a mid-size advisory firm…
Introduction: More Monitoring Hasn’t Meant Better Oversight A compliance officer at a mid-size broker-dealer recently described her Monday morning routine: triage roughly 1,200 surveillance alerts…
Introduction: The Market No Longer Closes For years, firms operated within a structure that felt stable enough not to question. Trading happened within defined hours,…
Introduction — The Same Risks Keep Showing Up If you spend even a short amount of time reviewing recent enforcement actions, a pattern begins to…
Introduction — The Remote Work Experiment Is Over For a period during the pandemic, remote supervision was treated as a temporary accommodation. Regulators allowed firms…
Introduction — AI Is No Longer a Hypothetical Risk A year ago, most firms treated generative AI as an emerging technology issue. Advisors experimented with…
Introduction – Privacy Rules Used to Be About Paper For years, Regulation S-P was treated as a disclosure exercise. Firms drafted privacy notices, updated policy…
Exams Aren’t Episodic Anymore For decades, SEC exams followed a predictable rhythm. Firms treated them like events, something you prepared for in waves. Policies were…
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