Core Compliance Blog Spotlight

Improper Disclosure: BB&T to Return $5+ Million to Retail Investors and Pay Penalty

BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services. Read More
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 More

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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Why Modern Firms Need to Understand Virtual Currency (Including Cryptocurrency)

June 21, 2018

Though once thought no more than a digital curiosity, a passing Millennial trend, or something only used by criminals in illicit, internet-based black markets, so-called virtual currency (which includes cryptocurrency, like the well-known Bitcoin), has become a staple of the modern financial...

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What We Can Learn From the Recent $26 Million Settlement from LPL Financial LLC

June 14, 2018

The importance of having  proper policies, procedures and controls in place to ensure your firm is in compliance before regulators come knocking cannot be overstated — and every few months it seems, an example finds its way into the news to underscore just why compliance is something that should...

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Educating Aging Investors - Millennial to Baby Boomer Generations

June 07, 2018

 

[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule.

With over 20% of the U.S. population projected to be over the age of 65 by 2030 (compared to 13% in 2010), protection of aging investors continues to be a...

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