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If your trade surveillance flags thousands of transactions a month and most turn out to be nothing, you don't have risk-based supervision. You have noise. And noise is exactly where real risk hides.Industry estimates put the false-positive rate on transac

In the latest Dear Ryan column, Docupace Chief of Staff Ryan George explains why compliance failures often stem from a culture that discourages escalation and how leaders can turn a regulatory finding into meaningful change.Read full article here. About D

If surveillance has been sitting on the back burner, or you just haven't had time to see what's changed, this is a good place to catch up. We'll talk through the top 3 surveillance areas firms are rethinking this year, and what it actually looks like to h

You can run the most conscientious supervision program in the industry. If you can't evidence that the review happened, when it happened, and who signed off, the regulator treats it as if no supervision occurred. That single standard is quietly splitting

In a new Wealth Solutions Report feature on AI's uneven impact on advisor growth, Docupace CEO Brian Filanowski argues that the real barrier isn't the technology but the fragmented, unsynced data beneath it - telling the outlet that firms which give AI "c

Ask most firms where compliance sits on the org chart, and you'll hear some version of "overhead." Necessary, non-negotiable, and a cost you'd shrink if the regulators let you. That framing is exactly why so many programs stay stuck on spreadsheets and mo

Docupace is honored to be named a finalist in two categories at this year's ThinkAdvisor Luminaries Awards - Thought Leader of the Year for Nora Gallegos and Operations Product or Service Innovation for PreciseFP's AI Template Builder.See full list of fin

In the latest Dear Ryan column, Ryan George examines why the value of AI can't always be captured through traditional ROI, and how firms can instead assess its impact on advisor capacity, compliance, talent retention and the client experience.Read full ar

Brian Filanowski, CEO of Docupace, discusses how fragmented technology and disconnected data could slow AI adoption across the wealth management industry.Read full article here. About DocupaceDocupace is a software provider focused on digitizing and autom

Wealth Solutions Report examines why wealth management firms are moving beyond basic integrations, with insights from Docupace CMO Jon Ewing on how tech orchestration can reduce complexity and improve efficiency.Read full article here. About DocupaceDocup