Core Compliance Blog Spotlight
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 MoreThe 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).
Read MoreUPDATE: 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.
Read MoreData 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...
Read MoreOur 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.
Read MoreOCIE 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.
Read MoreFINRA 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.
Read MoreDespite 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.
Read MoreSEC 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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