Core Compliance Blog Spotlight
Core Compliance Blog Spotlight
Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number sources, but the level of potential damage to individual firms and the overall market also increases with each passing year. Read MoreHamlin Capital Management, LLC — Cease-and-Desist Order and Remedial Sanctions Levied by SEC
October 04, 2018
Hamlin Capital Management, LLC, a New-York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross trading activity that favored particular client accounts over others.
Read MoreKeeping Accurate Books? — SEC Charges BGC Financial for Failure to Preserve Critical Records
September 17, 2018
A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, and gifts and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.
Read MoreCompliance Alert: OCIE Issues Best Execution Risk Alert
September 14, 2018
Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.
Read MoreIs Your Code of Ethics Up to Date?
July 19, 2018
