Risk Management Updates
Practical Tips for RIA Service Agreements - Making Sure Your Clients Are Happy and You Are Protected |
Compliance End-of-the-Year Checklist |
Rule 204A-1 Investment Adviser Code of Ethics |
Outsourcing Solutions for Compliance Professionals |
Social Media – The Latest Regulatory Guidance for Compliance Considerations |
Books and Records - How to Stay Ahead of the Curve |
Regulatory Focus: Best Practices To Comply With Insider Trading Regulations |
Principal Trading Requirements for Investment Advisers |
Where We Are Today with the Dodd-Frank Act |
New Requirements for Certain Broker-Dealer Operations Personnel on the Horizon |
Regulatory Update: New Reporting Requirements for Outside Business Activities |
Regulatory Update: FINRA’s Annual Regulatory and Examinations Priorities Letter |
Regulatory Update: Current State of the Municipal Securities Market |
New Electronic Safeguarding Measures from FINRA |
Regulatory Update: Recent Speeches from the SEC’S Office of Compliance Inspections and Examinations and FINRA |
NASAA: Providing Guidance on the Latest State Developments impacting B-Ds, RIAs and Private Funds |
Succession Planning: A Critical Component to Your Business Continuity Plan |
The New Form ADV Part 2: The Next Chapter for Investment Adviser Requirements |
Electronic Communications and Social Media: Firms that Tweet, Twitter and Facebook—Part II |
Electronic Communications and Social Media: Firms that Tweet, Twitter and Facebook—Part I |
FINRA 2010 Examination Highlights Part II |
FINRA 2010 Examination Highlights |
Implementing Compliance Solutions |
Anti-Money Laundering Updates - Part II: Release of the AML Small Firm Template |
Anti-Money Laundering Updates: Adoption of FINRA Rule 3011 and Release of the Small Firm Template |
FINRA’s Proposed Amendments to Rule 2210-Communications with the Public |
Final Model Privacy Form Adopted by the SEC & Regulation S-P Updates |
Draft of 2010 -2015 SEC Strategic Plan Published for Comment |
SEC Rule Proposal: Regulating “Pay to Play” Practices |
Red Flag Rule Postponed (Again) |
Alternative Adviser Registration Options |
The Red Flag Rules Revisited |
Investment Adviser State Registration and De Minimus Exemption |
There's something about Mary |
They're coming - Preparing for Your Next Regulatory Examination |
SFAS 157 Fair Value Measurement |
Fund Managers Should Actively Review Disclosures Portfolio Mandates |
Important Strategies to Consider for Reviewing your Disclosure |
Hedge Fund Best Practices |
Newly Proposed Changes to Regulation S-P |
Top Areas of 2007 Deficiencies Noted by the SEC in San Diego’s CCO Outreach Program |
Approaching the Heightened Standards in Offering Investment Tools to Service Members |
Explanation and Assessment of the Newly Proposed Uniform Privacy Policy |
Investment Companies: Fund Compliance Reminders |
Hedge Fund Compliance & the Aftermath of Goldstein |
Protecting Yourself—Errors and Omissions Insurance: The Must Have Insurance for Every Firm and Individual |
Top 10 List for Investment Adviser Annual Reviews |
Implementing Compliance Technology Solutions |
Newsstand Risk Management Updates Top 10 List for Broker-Dealer Annual Reviews |
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