Core Compliance Blog Spotlight

Updating Your Cybersecurity Policy: NFA Releases Interpretive Notice 9070

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
Core Compliance Blog Spotlight

OCIE 2019 Examination Priorities Released

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

Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges

November 14, 2018

Fraudulent messaging that affects retail investment decisions comes in many forms, but the applicable regulatory statutes apply across all circumstances.

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The Red Flags Rule: SEC Charges Voya Financial Advisors Inc. With Deficient Cybersecurity Procedures

November 12, 2018

In the first case of its kind, charges have been filed against a firm for failure to meet the standards of identity theft the Red Flags Rule, which sets standards for the protection of customers against identity theft.

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Virtual Currency Trading Risk — NFA Sets New Disclosure Requirements

October 16, 2018

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.

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Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues

October 09, 2018

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.

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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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