Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
There are many factors that go along with having a successful compliance program. Achieving executive buy-in is an integral part of building and maintaining a culture of compliance in any firm. Setting a tone at the top creates a clear … Read More
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
The Financial Industry Regulatory Authority (FINRA) has changed some of its rules on continuing education (CE) to help registrants who have stepped away from the industry retain their qualification for up to five years. By enrolling and keeping current on … Read More
The release of the exam priorities report[1] was later this year than in prior years but appears to be worth the wait. In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus. … Read More
In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More
In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More
RightSize Solutions Cyber-Chat Webinar | 1:00-2:00pm PT | April 27, 2022 | Speaker: Janice Powell