2017 NSCP National Conference
Michelle Jacko will be presenting, “Identifying and Managing Conflicts of Interest – With or Without the Rule” at the NSCP National Conference on October 16, 2017, from 1:55PM – 3:10PM (ET), in Washington, D.C.
Top 4 Tips for Getting the Most Out of IA Compliance: The Full 360 Degree View West
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
NSCP: The Regulators and Panels to See at the Conference
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.
What Investment Advisers Need to Know About the SEC’s New Risk Alert
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
2017 IA Watch & Core Compliance West Coast Regional Conference
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.
Form ADV | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
What Advisers Need to Know About Wyoming’s New Investment Adviser Regulations
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]
DOL Seeking Delay of its Fiduciary Rule until July 2019
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
Nevada Creates Own Fiduciary Rule
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
Blog | Broker-Dealers | Conflicts of Interest Rule | Investment Adviser | Securities and Exchange Commission (SEC)
SEC Seeks Public Comment on Standards of Conduct for Investment Advisers and Broker-Dealers
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
Time’s Up: The Fiduciary Rule Delay Comes to an End
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