Wolters Kluwer – Today’s Challenges for Servicing Aging Clients
September/October 2016
Investment Adviser | Registration | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC vs. State Investment Adviser Registration: A Complete FAQ Guide
There are many facets surrounding the registration of investment advisory firms (“IA Firm”) and investment adviser representatives (“IAR”) and the process can be erroneous if not performed correctly. Since registration is one of our core service offerings, we get asked … Read More
SEC Examination Priorities for 2017
Examination Priorities Each year the SEC Office of Compliance Inspections and Examinations publishes their SEC examination priorities letter to inform the industry of their current focus areas. The 2017 letter was released on January 12, 2017, and is available on … Read More
California Attorney Defrauds EB-5 Investors
On December 27, 2016, the Securities & Exchange Commission (“SEC”) charged Emilio Francisco with defrauding investors seeking to participate in the EB-5 immigrant investor program. The EB-5 program, which is administered by the U.S. Citizenship and Immigration Service (“USCIS”), allows … Read More
NSCP Spring Conference – Newport Beach, CA
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
FINRA Announced Its 2017 Exam Priorities
According to Robert W. Cook, since becoming the president and CEO of FINRA in August 2017, he has “been engaged in an ongoing ‘listening tour’ meeting with member firms, regulators and investor groups, among others.” In the cover letter he … Read More
Ascendant Compliance Conference
CEO, Michelle Jacko, will be at Ascendant’s 2017 Compliance Conference in Naples, FL from Monday, April 3-5, 2017.
2017 NSCP Annual Conference
From October 17-19, 2017, Core Compliance will be at the 2017 NSCP Annual Conference in Washington, D.C.
End of Year is Almost Here – Are You Prepared?
2016 is speeding to a close, so to assist advisory firms in preparing for year-end compliance requirements, along with certain upcoming regulations, Core Compliance & Legal Services, Inc. (“Core Compliance”) recently published a Risk Management Update (“RMU”) that contains a … Read More
The Next Iteration of Fraudulent Disbursements
Criminal activity is constantly evolving. Fraud emanating from a compromised email account is fairly well known and most firms have implemented authentication procedures to address fraudulent third-party wire transfers. However, another threat has recently gained traction in the financial industry, … Read More