Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
MSRB Extensions of Deadlines during COVID-19 Pandemic
Due to the considerable operational obstacles faced by many entities under their regulatory umbrella due to COVID-19, the Municipal Securities Rulemaking Board (MSRB) has filed a rule change to provide regulatory relief by extending the compliance and testing deadlines for … Read More
Compliance with Form CRS Requirements: OCIE Announces Examination Priorities
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Form CRS under both the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, with a compliance deadline of June 30, 2020. As that deadline … Read More
Episode 70: Interview with Jessica Thayer of Starkweather and Shepley Insurance Brokerage
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.
Want to Advertise to Help Differentiate Your Firm? Read This First
Ask chief compliance officers what keeps them up at night and you’ll find the approval of marketing materials, social media communications, and other forms of advertising rank high on the list. Two factors have combined to cloud best practices for … Read More
SEC Reduces Regulatory Burdens for Advisers of RBICs
On March 2, the U.S. Securities and Exchange Commission took two important steps to alleviate red tape for investment advisers who provide capital to and work with Rural Business Investment Companies (RBICs). Licenses for RBICs are provided by the Rural … Read More
Two Important Concerns to Address Within Your Business Continuity Plan (BCP) for an SEC Examination
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
Episode 68: Practical Tips for Completing and Filing Forms ADV and CRS
On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS.
How Strong Is Your Cybersecurity Program?
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More
NSCP National Conference 2019 | Navigating the Challenges of the Mutual Fund Compliance Program
October 23, 2019 | Baltimore, MD | Speaker: Core Compliance