The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
There are many factors that go along with having a successful compliance program. Achieving executive buy-in is an integral part of building and maintaining a culture of compliance in any firm. Setting a tone at the top creates a clear … Read More
By default, your qualifications terminate two years after you leave a FINRA-member firm — after that, you generally have to requalify by exam. But the Financial Industry Regulatory Authority (FINRA)’s Maintaining Qualifications Program (MQP) lets eligible registrants extend that window to … Read More
In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More
In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More
With the alarming increase in ransomware, cryptojacking, phishing and other related cyberattacks, the Securities and Exchange Commission (SEC) proposed new rules are designed to enhance cybersecurity preparedness to maintain orderly markets and protecting investors against cyber fraud. The proposed rule … Read More
In early February 2022, the U.S. Securities and Exchange Commission (SEC) voted on the proposal of rules regarding cybersecurity risk management for the industry, specifically for registered investment advisers, and registered investment companies and business development companies (funds).
Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More
On episode 95 of the CCO Buzz podcast, we discuss the growing focus of regulators on cybersecurity!