As regulatory expectations and operational complexities continue to grow, investment advisers and broker-dealers increasingly turn to technology and specialized service providers to meet their obligations efficiently and effectively. Outsourcing certain functions has become a strategic choice, offering access to deep … Read More
Even though there is no specific rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) for registered investment advisers to seek best execution when trading on behalf of their clients, most investment advisers understand that this … Read More
In the ever-evolving landscape of compliance, investment advisory and broker-dealer professionals are increasingly turning to technology and third-party vendors to fulfill expanding regulatory requirements. Of those polled by Thomson Reuters for their 2023 “Cost of Compliance” report, 38% of compliance … Read More
Recent action brought by the U.S. Securities and Exchange Commission (SEC) against a Miami-based hedge fund manager offers another cautionary tale about the need for investors to perform a high level of due diligence when dealing with private placement memorandums … Read More
IAA’s Compliance Workshop 2020 | December 3, 2020 @ 9:30am to 1:00pm PT | Speakers: Michelle L. Jacko
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest. The Securities and Exchange Commission (“SEC”) describes … Read More