Core Compliance Blog Spotlight

Improper Disclosure: BB&T to Return $5+ Million to Retail Investors and Pay Penalty

BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services. Read More
Core Compliance Blog Spotlight

Non-Public Form N-PORT: Changes to Filing Date

Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm. Read More

The CFTC Division of Market Oversight Compliance Branch Releases Inaugural Examination Priorities

March 14, 2019

On February 12, 2019, the Commodity Futures Trading Commission (CFTC) released its inaugural examination priorities for its Division of Market Oversight (DMO) Compliance Branch, the Division of Swap Dealer & Intermediary Oversight (DSIO), and the Division of Clearing & Risk (DCR).

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UPDATE: 2016 EDGAR Hacking Case - SEC Brings Charges

March 12, 2019

Even powerful entities like the U.S. government’s Securities and Exchange Commission (SEC) and major news agencies are not impervious to cyberattacks, despite the significant resources they dedicate to defending the valuable information they are responsible for.

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Data Leak at the Oklahoma Securities Commission: The Importance of Information Security

March 05, 2019

Almost every organization that is responsible for storing sensitive data, including private-sector corporations, investment firms, and government agencies, understands that effective cybersecurity plays an important role in shielding individuals’ personally identifiable information (“PII”) from...

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Updating Your Cybersecurity Policy: NFA Releases Interpretive Notice 9070

February 19, 2019

Our ever-increasing reliance on electronic devices and information technology to do business, combined with the constantly evolving methods used to electronically attack our firms and our clients, has elevated information security (cybersecurity) into a position of great importance.

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OCIE 2019 Examination Priorities Released

February 14, 2019

In a December 2018 press release, the SEC (Securities and Exchange Commission) announced the publication of the OCIE (Office of Compliance Inspections and Examinations) examination priorities for 2019.

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FINRA Releases Report on Effective Industry Cybersecurity Practices

February 12, 2019

Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.

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Trouble With Tokens Continues: ICO Issuers Settle SEC Registration Charges

January 17, 2019

Despite the Securities and Exchange Commission (SEC) toughening its regulation of virtual currencies and initial coin offerings, enforcement actions continue to be filed with increasing frequency. 

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SEC Publishes Risk-Based Examination Priorities for Registered Investment Companies

January 15, 2019

In an early November announcement, the Securities Exchange Commission (SEC) has publicized new exam initiatives that were announced in a recent risk alert by the Office of Compliance Inspections and Examinations (OCIE) concerning mutual funds and exchange-traded funds.

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