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.
Flouting Compliance: A New York-Based Investment Advisory Firm Charged by the SEC
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
Non-DVP Custodial Practices and Digital Assets: Your Input Requested
On March 12, 2019, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management published a letter addressed to the Investment Adviser Association seeking input from interested parties regarding custody issues related to: Investment adviser and custodial trading practices that … Read More
Episode 43: Key Considerations for Investment Advisers Regarding Risk Alerts and Mutual Funds
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
NSCP Currents – Tips on How to Prepare For Your Next Examination: Part 2
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 2,” was featured in the April 2019 edition of the National Society of Compliance Professionals’ Currents.
Charles Schwab: SEC Key Topics – How to Prepare for an Examination
Our CEO Michelle Jacko’s presentation from the Schwab IMPACT 2018 Conference was featured and was based in the article, “SEC Key Topics – and How to Prepare for an Examination,” which is available among Charles Schwab’s Adviser Services.
How Risk Alerts Can Help You Prepare for Your Next Examination
Our CEO Michelle Jacko’s article, “How Risk Alerts Can Help You Prepare for Your Next Examination,” was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.
Formation and Sale of “Blank Check” Companies: SEC Brings Fraud Charges
In late February charges of fraud by the SEC against a broker-dealer and its transfer agent were the latest in a series of SEC enforcement actions against parties engaged in the formation and trading of “blank check” companies.
Improper Disclosure: BB&T to Return $5+ Million to Retail Investors and Pay Penalty
BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services.