Episode 87: The Importance of Implementing Compliance Technology
On episode 87 of the CCO Buzz, we discuss the advantages of compliance technology with Core Compliance’s Managing Director of Consultation Services, Tina Mitchell.
SEC Accuses Race Car Aficionado of Bilking Investors out of $38 Million to Fund Lavish Lifestyle
Recent action brought by the U.S. Securities and Exchange Commission (SEC) against a Miami-based hedge fund manager offers another cautionary tale about the need for investors to perform a high level of due diligence when dealing with private placement memorandums … Read More
Ongoing Areas of Focus for State Securities Regulators
In its recently issued annual report on state-registered investment advisers, the North American Securities Administrators Association (NASAA) was straightforward about the steps it believes advisers should be taking to create a culture of compliance in today’s rapidly changing regulatory environment. … Read More
Episode 86: The New ERISA Exemption Rule
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
Compliance Expectations for 2021 (Part 2)
Schwab Compliance Web Event | March 17, 2021 | Speakers: Michelle L. Jacko
Be in the Know: SEC Examination Priorities (Part 1)
Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko
SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses
2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speaker: Michelle L. Jacko, CSCP
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More
Timely Takeaways from Zoom’s Consent Agreement with the FTC over Data Management Practices
Firms should take note that information security will remain an area of intense focus this year for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (the Division or EXAMS), formerly known as the Office of Compliance Inspections and … Read More
New NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives
The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 … Read More