NSCP National Conference 2019 | Navigating the Challenges of the Mutual Fund Compliance Program
October 23, 2019 | Baltimore, MD | Speaker: Core Compliance
October 23, 2019 | Baltimore, MD | Speaker: Core Compliance
Managing Conflicts Managing a broker dealer’s gifts and business entertainment conflicts can be an ongoing challenge for even the best compliance team. This task can become even more challenging as the holidays approach. You want to thank your clients for … Read More
Strategic Planning Group (“SPG”) agreed to settle charges with The Securities and Exchange Commission (“SEC”) for failing to disclose a conflict of interest by consenting to a cease-and-desist order, censure, and civil penalties of $200,000. Its principals, David A. Rourke and … Read More
The Securities and Exchange Commission (SEC) issued its final decision on its three-part reform package last month, featuring the Regulation Best Interest (REG BI). The regulation will require broker-dealers to increase their disclosures and act in their client’s best interest … Read More
On June 5, 2019, the Securities and Exchange Commission (SEC) approved a four-part investment advice reform package containing new rules that govern conduct, forms, and interpretations for investment advisers and broker-dealers.
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services.
May 2, 2019 | Speaker: Core Compliance
April 3-5, 2019 | “Best Practices for Managing Conflicts of Interest” | Speaker: Michelle Jacko, CSCP
On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop.