Cryptocurrency Fraud Runs Rampant
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.
How to Deter the Possibility of Insider Trading by Your Employees
On August 12, 2019, the Securities and Exchange Commission (SEC) announced it had filed civil proceedings against Bill Tsai, a junior analyst at RBC Capital Markets, for alleged insider trading.
It’s a Good Time to Review Fee Disclosure for Accuracy & Transparency
When it comes to the all-important topic of management and other fees or expenses, investment advisors are charged with the fiduciary responsibility of making certain they disclose all related information comprehensively and transparently.
Despite Potential Delays and Changes, Firms Should Begin implementation of REG BI Compliance
The Securities and Exchange Commission (SEC) issued its final decision on its three-part reform package last month, featuring the Regulation Best Interest (REG BI). The regulation will require broker-dealers to increase their disclosures and act in their client’s best interest … Read More
Updates and Changes to Your Firm’s Policies and Procedures
Under Rule 206 (4) -7 all Registered Investment Advisers (“RIA’s) are required to have compliance Policies and Procedures, adequately designed to help them meet their regulatory requirements. A Firm’s obligations regarding their Policies and Procedures manuals do not end at … Read More
CFP Moves Forward with Revised Code of Ethics, Extends Enforcement Date to June 2020
The Certified Financial Planners (CFP) Board of Standards, Inc. released its revised Code of Ethics and Standards of Conduct last year. The most significant change under the new standards is that now all CFP professionals, including broker dealers, must adhere … Read More
KPMG Agrees to $50 million penalty for SEC Charges
KPMG agreed to pay a $50 million penalty and review its ethics and integrity controls as a settlement with the Securities and Exchange Commission (SEC) for charges that the firm altered past audit work papers after illegally obtaining information from … Read More
NSCP National Conference 2019 | Supporting Women in Compliance
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
IMPACT 2019 | SEC Examinations: Today’s Hot Topics
November 4-7, 2019 | San Diego, CA | Speaker: Michelle L. Jacko, CSCP, CEO