Episode 64: GIPS 2020 – Are You Ready?
On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020.
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
Charles Schwab Corp. to Purchase TD Ameritrade for $26 billion
Charles Schwab Corp. announced it has agreed to purchase TD Ameritrade Holding Corp. for $26 billion in an all-stock transaction, combining two of the largest custody service providers to independent financial advisers. After the merger, the combined firm will have … Read More
Episode 63: Cybersecurity Training for Employees
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
Gifts & Business Entertainment Conflicts – The Ongoing Challenge for Broker-Dealers
Managing Conflicts Managing a broker dealer’s gifts and business entertainment conflicts can be an ongoing challenge for even the best compliance team. This task can become even more challenging as the holidays approach. You want to thank your clients for … Read More
SEC Charges 18 in Elaborate $31 Million Stock Manipulation Scheme
On October 16, 2019, The Securities and Exchange Commission filed an emergency action and obtained an asset freeze against 18 traders in a multiyear scheme to manipulate more than 3,900 U.S.-listed securities that resulted in more than $31 million in … Read More
NSCP Currents – Best Execution Considerations for Advisers
Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Best Execution Considerations for Advisers,” was featured in the November 2019 edition of the National Society of Compliance Professionals’ Currents. The article discusses consideration factors for seeking best execution, testing protocols for different types … Read More
Why the SEC’s Scrutiny of Digital Assets Creates Opportunity for Financial Advisers
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … Read More