NSCP Webinar: Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS
November 21, 2019 @ 10:00 AM PST/1:00 PM EST
Hefren Tillotson, Inc. Settles Charges of Undisclosed Compensation
Registered investment adviser and broker-dealer Hefren-Tillotson, Inc. agreed to settle charges from the Securities and Exchange Commission (“SEC”) for undisclosed compensation it received from its unaffiliated clearing broker. The firm will pay disgorgement of $254,060, prejudgment interest of $45,905 as … Read More
NSCP Currents – Year End Compliance Checklist Considerations for Investment Advisers
Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Year End Compliance Checklist Considerations for Investment Advisers,” was featured in the October 2019 edition of the National Society of Compliance Professionals’ Currents.
Episode 58: Principal Trading & Agency Cross-Transactions
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
Firm’s Willful Lack of Disclosure to Investors Results in $5.5M Fine
On Monday, September 16, 2019, the Securities and Exchange Commission settled charges against Marvell Technology Group for misleading investors when it engaged in an undisclosed revenue management scheme in order to meet publicly issued revenue guidance.
Cybersecurity Considerations to Address in Preparation for 2020
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
SEC Shines Light on Agency and Trading Cross Transactions
The most recent Risk Alert distributed by the Securities and Exchange Commission (“SEC”) focused on many compliance issues that have been identified relating to principal trading and cross agency transactions. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) provided … Read More
Performing Due Diligence & Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II
Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Alts for RIAs 2019 Seminar
November 7, 2019 | San Francisco, CA | Alts for RIAs 2019