Blog Archives - Page 2 of 41

This is for all main blog posts.

What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers

May 18, 2022 by Maggie Tavares

Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More

Blog | Investment Adviser | Securities and Exchange Commission (SEC)

SEC Issues Risk Alert On Investment Adviser MNPI and Code of Ethics Issues

May 18, 2022 by Maggie Tavares

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More

Blog | Broker-Dealers | FINRA

FINRA’s New Maintaining Qualifications Program adds Career Flexibility for Advisors

April 21, 2022 by Core Compliance

The Financial Industry Regulatory Authority (FINRA) has changed some of its rules on continuing education (CE) to help registrants who have stepped away from the industry retain their qualification for up to five years. By enrolling and keeping current on … Read More

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Winner and Finalists Announcement: 2022 CCO of the Year Award

April 5, 2022 by Core Compliance

In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More

Blog | Cybersecurity | Investment Adviser

Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Disclosure of Cybersecurity Risks and Incidents & Recordkeeping (Part 4)

April 5, 2022 by Core Compliance

In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).

Blog | Cybersecurity | Investment Adviser

Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Reporting of Significant Cybersecurity Incidents (Part 3)

March 31, 2022 by Core Compliance

So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More

Blog | Cybersecurity | Investment Adviser

Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Where to Start (Part 2)

March 28, 2022 by Core Compliance

With the alarming increase in ransomware, cryptojacking, phishing and other related cyberattacks, the Securities and Exchange Commission (SEC) proposed new rules are designed to enhance cybersecurity preparedness to maintain orderly markets and protecting investors against cyber fraud. The proposed rule … Read More

Blog | Cybersecurity | Investment Adviser

Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Unpacking the Changes (Part 1)

March 16, 2022 by Core Compliance

In early February 2022, the U.S. Securities and Exchange Commission (SEC) voted on the proposal of rules regarding cybersecurity risk management for the industry, specifically for registered investment advisers, and registered investment companies and business development companies (funds).

Blog | Cybersecurity | Investment Adviser

Nine Preventative Measures to Increase Cybersecurity Protections

March 14, 2022 by Tina Mitchell

On January 24, 2022, Chairperson Gary Gensler said the Securities and Exchange Commission (SEC) might extend regulatory responsibility for cyber-risk management by requiring third-party providers to have adequate safeguards in place to protect investors and ensure key services for them … Read More

Blog | Cybersecurity | Investment Adviser

Six Questions to Ask to Avoid Complacency and Trending Cybersecurity Dangers

February 17, 2022 by Tina Mitchell

In recent months, the increase of high-profile cyber-attacks have not only undermined investor confidence but have also rattled the industry. The U.S. Securities and Exchange Commission (SEC) has responded with a pledge to review and consider significant changes in cybersecurity … Read More

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