Core Compliance Blog Spotlight

Virtual Currency Trading Risk — NFA Sets New Disclosure Requirements

The promise of lucrative and rapid profits in virtual currency trading, including its derivatives, has attracted a high number of investors who may not understand the unique and potentially significant risks involved. Read More
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 More

Hamlin 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.

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Keeping 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.

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Compliance 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.

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Whistleblower Rule Amendments Strengthen Incentives and Clarify Requirements

August 14, 2018

 

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Fifth Circuit Issues Mandate Vacating DOL Fiduciary Rule — Your Firm Should Remain Vigilant as the SEC Steps In

August 13, 2018

 

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Is Your Code of Ethics Up to Date?

July 19, 2018

 

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Robo-Advisers Still Have the Same Compliance Obligations as Traditional Firms

July 12, 2018

 

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New Customer Due Diligence Rule in Effect — What It Means for Your Firm

July 05, 2018

 

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