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
Be in the Know: SEC Examination Priorities (Part 1)
Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko
SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses
2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speaker: Michelle L. Jacko, CSCP
How to Build an Effective Culture of Compliance
Often, when broker-dealers and investment advisory firms are sanctioned by the regulators, the question on everyone’s mind is: where was compliance? While most firms are required to have a designated Chief Compliance Officer (“CCO”), few have more than one compliance … Read More
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More
Timely Takeaways from Zoom’s Consent Agreement with the FTC over Data Management Practices
Firms should take note that information security will remain an area of intense focus this year for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (the Division or EXAMS), formerly known as the Office of Compliance Inspections and … Read More
New NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives
The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 … Read More
Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.