The first Core Compliance/ IA Watch Conference is taking place this November 2nd, just a few short weeks away. For conference attendees here on the west coast, IA Watch is a chance to see the major west coast industry leaders, … Read More
The national conference put on by the National Society of Compliance Professionals is one of the best in the industry….and it is coming up – fast. It’s not too late to register, and you can do so by clicking here.
Last week, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections & Examinations issued a new Risk Alert titled, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers” which was generated as a result … Read More
We’re excited to announce that Core Compliance, in conjunction with IA Watch, is co-sponsoring the upcoming conference, IA Compliance: The Full 360° View, West Critical and Timely Insight for Investment Adviser Compliance Professionals.
On July 1, 2017, the State of Wyoming’s new regulations became effective, which require certain investment advisers (“IAs) and investment adviser representatives (“IARs”) to register with the State in order to provide investment advice in Wyoming. [1]
The Department of Labor (“DOL”) has submitted a proposal to the Office of Management and Budget (“OMB”) for a delay on implementing the remaining requirements of their fiduciary rule (“DOL Rule”) until July 1, 2019, which is currently scheduled to … Read More
Recently, Nevada Governor Brian Sandoval signed into law Senate Bill 383 that revised current regulations for financial planners. The changes expand the definition of a financial planner in NRS 628A.010 to now include broker-dealers and investment advisers in Nevada, which in … Read More
In a recent public statement, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton announced that the SEC is moving forward with its review of the standards of conduct mandates for investment advisers and broker-dealers and he welcomes the Department of … Read More
Originally intended to go into effect on April 10, 2017, the DOL’s Conflicts of Interest final rule (referred to in the industry as the “Fiduciary Rule”) was delayed for 60 days while the department analyzed issues raised in President Trump’s … Read More
