Episode 92: The Continued Regulatory Focus on Senior Investor Protections
On Episode 92 of the CCO Buzz podcast, we discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.
Episode 91: 2021 Year-End Checklist for Investment Advisers
On episode 91 of the CCO Buzz, we are lucky enough to be joined by Director of Consultation Services, Tina Mitchell, to discuss her annual Year-End Compliance Checklist for Investment Advisers.
The SEC Waves a Cautionary Yellow Flag for Investment Advisers Associated with Wrap Fee Programs
The continued growth of investor assets participating in wrap fee programs has prompted regulators to maintain a sharp focus on the programs as part of an ongoing assessment of market-wide risks and matters of importance to retail investors saving for … Read More
SEC Enforcement Actions Send a Stark Message: The Transition Period for Form CRS Has Ended
If firms needed a resounding wake-up call regarding the importance of delivering newly required client relationship summaries (Form CRS) to retail investors in a timely manner, the U.S. Securities and Exchange Commission (SEC) has provided one.
How to Prepare for a State Exam: Tips from a Former Regulator
Investment professionals registered with one or more states have two basic regulatory challenges: managing differences in securities regulations from one jurisdiction to another and affording the resources needed to remain in compliance with the required regulations. Both challenges can be … Read More
Temperature Rising on the SEC to Address Climate Change Disclosure
A growing interest in funds focused on Environmental, Social, and Governance (ESG) assets has prompted the U.S. Securities and Exchange Commission (SEC) to see that investors are better informed regarding ESG-related risks. There just happens to be a difference in … Read More
A COVID Vaccination Isn’t the Only Way to Help Seniors and Provide Immunity for Employees
If Willie Sutton were alive today, he might be targeting seniors instead of robbing banks. Why? Because that’s where the money is. An ongoing and rapid increase in the size of the nation’s 65-and-over population and the disproportionate wealth among … Read More
Episode 89: Preparing For a State Exam – Advice From a Former Regulator
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
Key Elements of the New Marketing Rule
On December 22, 2020, the Securities and Exchange Commission (“SEC”) released the final rule that will govern investment adviser advertisements and payments to solicitors.[1] Deemed by the securities industry as the “New Marketing Rule”, its main purpose is to modernize … Read More
Episode 88: The New Marketing Rule – How Your Firm Can Prepare Now
On episode 88 of the CCO Buzz, Core Compliance discusses what your firm should be thinking about now to prepare for the New Marketing Rule.