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
Episode 60: Are You Disclosing All Financial Compensation Conflicts?
On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts.
Regulatory Compliance Watch: The SEC’s New Proposed Advertising Rule (Webinar)
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
Compliance Considerations of Portfolio Management and Trading
Proper Portfolio Management and Trading are Regulatory Priorities: In its 2019 Examinations Priorities Letter, the Securities and Exchange Commission (“SEC”), Office of Compliance Inspections and Examinations, listed Portfolio Management and Trading as SEC Examinations priorities.[1] Many Firms are unaware of … Read More
SEC Proposes Amendments to OTC Securities Quotations
Over the past several years, The Securities and Exchange Commission (“SEC”) has brought hundreds of enforcement actions over violations of federal securities involving over-the-counter (OTC) securities, resulting in tens of millions in harm to retail investors. In an effort to … Read More
SEC Charges Investment Advisers for Failing to Disclose Conflicts of Interest
Strategic Planning Group (“SPG”) agreed to settle charges with The Securities and Exchange Commission (“SEC”) for failing to disclose a conflict of interest by consenting to a cease-and-desist order, censure, and civil penalties of $200,000. Its principals, David A. Rourke and … Read More