Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
Failure to Supervise Third Parties: AXA Advisors, LLC Sanctioned by FINRA
In early May, the Financial Industry Regulatory Authority (FINRA) announced fines levied against AXA Advisors, LLC (AXA), a company that sells and services group annuity contracts for employer-sponsored 401(k) retirement plans through an affiliated life insurance company.
Social Sentiment Investing Tools: SEC Issues Investor Bulletin
Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools.
NSCP Webinar: Enhancing Your Annual Review Process
July 30, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Tina Mitchell, Lead Sr. Compliance Consultant
NSCP Webinar: Cybersecurity Risks You May Not be Considering
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
SD Voyager – Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown
Our CEO Michelle Jacko was featured in an SD Voyager article titled “Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown” on May 23, 2019. In the article Michelle participates in a Q&A interview where she discusses her journey in … Read More
Creating A Strong Culture of Compliance
Every registered investment adviser and employee of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is … Read More
Episode 45: P&P Manual Updates
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
Proposed Amendments to the Safeguards and Privacy Rules: FTC Seeks Comment
The Federal Trade Commission (FTC) has voted to propose alterations to two rules governing the protection of privacy and security of customer information in possession of financial institutions, the Safeguards Rule and the Privacy Rule under the Gramm-Leach-Bliley Act, specifically.