Core Compliance Blog Spotlight

Failure to Supervise Third Parties: AXA Advisors, LLC Sanctioned by FINRA

In early May, the Financial Industry Regulatory Authority (FINRA) announced fines levied against AXA Advisors, LLC (AXA), a company that sells and services group annuity contracts for employer-sponsored 401(k) retirement plans through an affiliated life insurance company. Read More
Core Compliance Blog Spotlight

Social Sentiment Investing Tools: SEC Issues Investor Bulletin

Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools. Read More

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...

Read More

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.

Read More

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.

Read More

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.

Read More

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. 

Read More

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.

Read More

A Need for Internal Transparency: JPMorgan Sued for Spoofing Precious Metals

January 10, 2019

Investors have sued JPMorgan Chase & Co., and a group of precious metals traders employed there, in New York federal court, claiming they manipulated futures contracts through a rogue broker practice known as “spoofing.”

Read More

Disclosure Improvements Proposed by SEC for Variable Annuities and Variable Life Insurance Contracts

December 17, 2018

In an Oct. 30, 2018, press release, the Securities and Exchange Commission (SEC) has announced that a proposal for updated disclosure agreements involving the complicated arena of variable annuities and variable life insurance contracts has been approved for public comment.

Read More

FTC Develops Cybersecurity Education Program

December 13, 2018

Cyberattacks pose a very real threat to all modern businesses, from massive corporate conglomerates to smaller local establishments, causing ever greater financial losses and increased headache each year for all who are affected.

Read More

Fraudulent Claims of SEC Approval in Marketing Cryptocurrency Trading

December 11, 2018

As the awareness and popularity of cryptocurrencies increase, so do the instances of fraud and dishonest behavior associated with their trade, which is evidenced by the recent Securities and Exchange Commission (SEC) Investor Alert on the subject.

Read More
< 1 2 3 4 5 ... 31 >