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

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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5 Compelling Reasons to Seek Outsourced Compliance Services

May 02, 2018

For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, there is pressure to avoid...

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Aging Client Considerations at Top of 2018 SEC Exam Priorities

April 25, 2018

The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme.

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Preventative Regulatory Compliance — Save Time and Money (and Headaches) up Front

April 11, 2018

“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance.

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2018 Investment Adviser Compliance Conference - Discussions with the SEC

April 04, 2018

The Core Compliance℠ team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. 

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Annual vs Other Than Annual Form ADV Amendments 

March 14, 2018

With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. 

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