Core Compliance Blog Spotlight
Core Compliance Blog Spotlight
Record Market Trading Volume in 2020 Could Prompt Your Firm’s Need to File SEC Form 13H
The global COVID-19 pandemic has changed the way many of us live, work, and invest. Trading activity in global and domestic markets spiked last year, partly as a result of the added time millions spent at home to avoid exposure to the coronavirus. Read MoreNASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives
December 15, 2020
The North American Securities Administration Association (NASAA) is a voluntary body composed of state securities regulators across all 50 states, Canada, and Mexico. Founded in 1919, it is the oldest international regulatory organization devoted to investor protection.
Read MoreHelpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: No One is Above the Law
December 10, 2020
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC's Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown territory, striving to serve their clients, keep their...
Read MoreWhat Every Chief Compliance Officer Needs to Succeed on the Job
December 07, 2020
The question of how many resources your firm should allocate to your compliance department to fulfill its regulatory responsibilities can be a hot button topic for investment advisory firms of all sizes.
Read MoreHelpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: A Banner Year for Whistleblowers
November 10, 2020
In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies for all business and the team at Core Compliance would like to continue the discussion in a short- series of what we believe...
Read MoreHelpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: COVID-19
November 08, 2020
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must read for trendspotters who want to know what might be top of mind for the...
Read MoreHelp Protect Client Accounts by Planning, Practicing and Promoting Proper Cyber Hygiene
November 06, 2020
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask wearing, and social distancing.
Read MoreOn October 8, 2020, the U.S. Securities and Exchange Commission released updated guidance to help clarify questions that have surfaced regarding information on firm and employee disciplinary history that must be disclosed on the client relationship summary (Form CRS).
Read MoreArea of Focus for Your Annual Review: Books and Records
October 19, 2020
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
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