NSCP Webinar: Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond
August 4, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Core Compliance and Nicole Dragoo
SEC Releases Risk Alert on Cybersecurity and Ransomware Attacks
On July 10, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert highlighting a recent increase in ransomware attacks against financial industry participants. The risk alert highlights the importance for financial … Read More
Registered Investment Advisers – Time to Revisit your Disclosures?
Proper Disclosures are a Fiduciary Responsibility One of the most important fiduciary duties of a Registered Investment Adviser (“RIA”) is that of disclosure. Current regulations require disclosure of many aspects of a RIA’s business including, among many things, ownership, business … Read More
NASAA Released Proposed Model Compliance Rule
On July 2, 2020, the North American Securities Administrators Association (“NASAA”) released a notice for public comment on its proposed model rule for investment adviser written policies and procedures (“the Model Rule”) under the Uniform Securities Acts of 1956 and … Read More
DOL Proposes New Class Exemption Rule
On June 29, 2020, the U.S. Department of Labor (DOL) proposed its new class exemption rule (the “Rule”) designed to replace the 2016 Best Interest Rule that was vacated by the U.S. Court of Appeals for the Fifth Circuit (“the … Read More
Episode 76: Making the Most of Your Annual Review Testing Opportunities
On episode 76 of the CCO Buzz, Core Compliance discusses how to make the most of your Annual Review through simultaneous testing opportunities.
NSCP National Conference 2020 | Creating Effective Oversight Structures for Investment Advisers
October 20, 2020 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP, CEO
Episode 75: Performing Due Diligence on Service Providers during COVID-19
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
Top 3 Considerations for Conducting an Annual Review
Under Rule 206(4)-7 (“Compliance Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”), Investment Advisers (“RIAs”) that are registered with the Securities and Exchange Commission (“SEC”) must perform an annual review of the RIA’s policies and procedures (“P&Ps) to … Read More
NFA Permanently Bars Hong Kong Futures Firm
On June 1, 2020, the National Futures Association (“NFA”) permanently barred Hong Kong-based commodity pool operator Bainbridge Asia Limited (“BAL” or the “Firm”) and its sole principal and associated person, Wai Man Yip, from membership and acting as a principal … Read More