Core Compliance Blog Spotlight

Cryptocurrency Fraud Runs Rampant

Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace. Read More
Core Compliance Blog Spotlight

How to Deter the Possibility of Insider Trading by Your Employees

On August 12, 2019, the Securities and Exchange Commission (SEC) announced it had filed civil proceedings against Bill Tsai, a junior analyst at RBC Capital Markets, for alleged insider trading. Read More

CCLS and the Latest Developments in the Financial Services Industry

October 18, 2010

As the regulatory and legal landscape applicable to the financial services industry continues to go through unprecedented changes, CCLS will stay on top of the latest developments and, through this page, provide updates and practical considerations for complying with the new laws and regulations....

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Delaware Supreme Court Holds that Hedge Funds Formed in Delaware May be Required to Disclose Names and Addresses of all Limited Partners Upon Request

October 11, 2010

The Delaware Revised Uniform Limited Partnership Act (“DRULPA”), under which many U.S. hedge funds are organized, entitles limited partners to access partnership information and records for purposes reasonably related to their interest as a limited partner, but DRULPA also provides the general...

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New CFTC Forex Rules to Take Effect Later This Month

October 04, 2010

The Commodity Futures Trading Commission (“CFTC”) has released final rules to drastically revise the regulatory structure pertaining to off-exchange retail foreign exchange (Forex) transactions, which are set to take effect on October 18, 2010. The adoption of the new rules is the latest effort by...

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SEC Announces Upcoming Plans to Implement New Registration, Reporting, and Recordkeeping Requirements for Investment Advisers

September 27, 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) includes significant changes to the registration and reporting requirements under the Investment Advisers Act of 1940 (the “Advisers Act”), including requiring many advisers to private funds to register with the...

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State of California to Accept Revised Form ADV Part 2

July 22, 2010

In July, the U.S. Securities & Exchange Commission (“SEC”) announced much anticipated revisions to Form ADV Part 2 (the “Disclosure Brochure”), requiring investment advisers to provide clients and prospective clients with narrative, “Plain English” disclosures of the adviser’s business practices,...

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