Core Compliance Blog Spotlight

Firm’s Willful Lack of Disclosure to Investors Results in $5.5M Fine

On Monday, September 16, 2019, the Securities and Exchange Commission settled charges against Marvell Technology Group for misleading investors when it engaged in an undisclosed revenue management scheme in order to meet publicly issued revenue guidance. Read More
Core Compliance Blog Spotlight

SEC Shines Light on Agency and Trading Cross Transactions

The most recent Risk Alert distributed by the Securities and Exchange Commission ("SEC") focused on many compliance issues that have been identified relating to principal trading and cross agency transactions. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) provided the... Read More

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.

Read More

Whistleblower Rule Amendments Strengthen Incentives and Clarify Requirements

August 14, 2018

 

Read More

Fifth Circuit Issues Mandate Vacating DOL Fiduciary Rule — Your Firm Should Remain Vigilant as the SEC Steps In

August 13, 2018

 

Read More

Is Your Code of Ethics Up to Date?

July 19, 2018

 

Read More

Robo-Advisers Still Have the Same Compliance Obligations as Traditional Firms

July 12, 2018

 

Read More

New Customer Due Diligence Rule in Effect — What It Means for Your Firm

July 05, 2018

 

Read More

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...

Read More

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...

Read More

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...

Read More

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...

Read More
< 1 ... 3 4 5 6 7 ... 32 >