Core Compliance and Legal Services, INC.

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Saturday, May 19, 2012

May 2012

June 2012

Conferences

NEWSSTAND

Outsourcing Solutions for Compliance Professionals

April 2012

Broker-Dealer Branch Office Inspections: A Key Part to Supervision

April 2012

Insurance Licenses: How to Navigate the Current Requirements

March 2012

Practical Tips for your Advisory Contracts Part 2 - What You Should Consider

February 2012

Transition from SEC
to State Registration -
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CCLS Blogs

Ongoing Compliance Concerns with Social Media Use

Rule 206(4)-1 under the Investment Advisers Act of 1940 prohibits any investment adviser (“IA”) from directly or indirectly publishing, circulating or distributing any advertisement that: (i) contains or refers to ...

CFTC’s final rule regarding de minimis exemption from registration

On February 8, 2012 the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued final regulations that repealed the widely used exemption from registration for private fund managers under CFTC Regulation ...

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