Core Compliance Blog Spotlight

Orion’s Eric Clarke Examines Issues Facing RIAs in Financial Planning’s Lightning Round

Eric Clarke, chief executive officer for Orion Advisor Solutions (Orion), was interviewed for Financial Planning’s Lightning Round. In the interview, Clarke describes the greatest threat to independent advisors as changes in the regulatory landscape. Read More
Core Compliance Blog Spotlight

SEC Publishes Frequently Asked Questions on Form CRS

As the first filing deadline for the Securities and Exchange Commission’s (“SEC”) new Form CRS is approaching on June 30, 2020, the SEC Division of Investment Management and Division of Trading and Markets have published a frequently asked questions document in response to inquiries they have... Read More

The CFTC Division of Market Oversight Compliance Branch Releases Inaugural Examination Priorities

March 14, 2019

On February 12, 2019, the Commodity Futures Trading Commission (CFTC) released its inaugural examination priorities for its Division of Market Oversight (DMO) Compliance Branch, the Division of Swap Dealer & Intermediary Oversight (DSIO), and the Division of Clearing & Risk (DCR).

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UPDATE: 2016 EDGAR Hacking Case - SEC Brings Charges

March 12, 2019

Even powerful entities like the U.S. government’s Securities and Exchange Commission (SEC) and major news agencies are not impervious to cyberattacks, despite the significant resources they dedicate to defending the valuable information they are responsible for.

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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...

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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.

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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.

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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.

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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. 

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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.

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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.”

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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.

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