The U.S. Securities and Exchange Commission (“SEC”) adopted Regulation S-P on November 13, 2000,[1] which is designed to govern the use and protection of consumer non-public personal data by covered financial institutions.[2] The SEC requires, among others, registered investment advisers … Read More

Core Compliance’s recent article, “2024 Year-End Checklist: Compliance Preparation for Investment Advisers,” was published in the November 2024 issue of the NSCP Currents Newsletter. In the article, we provide CCO’s with a detailed compliance checklist, along with compliance steps to … Read More