Core Compliance Blog Spotlight
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 MoreCompliance 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 MoreIs Your Code of Ethics Up to Date?
July 19, 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 MoreThe 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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[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 MoreFor 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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