Episode 89: Preparing For a State Exam – Advice From a Former Regulator
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
Key Elements of the New Marketing Rule
On December 22, 2020, the Securities and Exchange Commission (“SEC”) released the final rule that will govern investment adviser advertisements and payments to solicitors.[1] Deemed by the securities industry as the “New Marketing Rule”, its main purpose is to modernize … Read More
Episode 88: The New Marketing Rule – How Your Firm Can Prepare Now
On episode 88 of the CCO Buzz, Core Compliance discusses what your firm should be thinking about now to prepare for the New Marketing Rule.
Don’t Become Conflicted by a Potential Fiduciary Conflict of Interest
When it comes to the preparation and submission of required annual documents to the U.S. Securities and Exchange Commission (SEC), few regulatory filings demand the level of meticulous care that investment advisory firms must use in completing Form ADV. It … Read More
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.
SEC to Focus on Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers and Mutual Fund Firms
On March 29, 2021, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a Risk Alert citing frequent shortcomings found in compliance reviews of Anti-Money Laundering (AML) reporting at broker-dealer and mutual fund firms. Find the Risk … Read More
Compliance Expectations for 2021 (Part 2)
Schwab Compliance Web Event | March 17, 2021 | Speakers: Michelle L. Jacko