NSCP Webinar: Implementing A Stronger Due Diligence Program
July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
SEC Charges 18 in Elaborate $31 Million Stock Manipulation Scheme
On October 16, 2019, The Securities and Exchange Commission filed an emergency action and obtained an asset freeze against 18 traders in a multiyear scheme to manipulate more than 3,900 U.S.-listed securities that resulted in more than $31 million in … Read More
Performing Due Diligence & Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II
Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Alts for RIAs 2019 Seminar
November 7, 2019 | San Francisco, CA | Alts for RIAs 2019
Cryptocurrency Fraud Runs Rampant
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.
It’s a Good Time to Review Fee Disclosure for Accuracy & Transparency
When it comes to the all-important topic of management and other fees or expenses, investment advisors are charged with the fiduciary responsibility of making certain they disclose all related information comprehensively and transparently.
CFP Moves Forward with Revised Code of Ethics, Extends Enforcement Date to June 2020
The Certified Financial Planners (CFP) Board of Standards, Inc. released its revised Code of Ethics and Standards of Conduct last year. The most significant change under the new standards is that now all CFP professionals, including broker dealers, must adhere … Read More
KPMG Agrees to $50 million penalty for SEC Charges
KPMG agreed to pay a $50 million penalty and review its ethics and integrity controls as a settlement with the Securities and Exchange Commission (SEC) for charges that the firm altered past audit work papers after illegally obtaining information from … Read More
Failure to Supervise Third Parties: AXA Advisors, LLC Sanctioned by FINRA
In early May, the Financial Industry Regulatory Authority (FINRA) announced fines levied against AXA Advisors, LLC (AXA), a company that sells and services group annuity contracts for employer-sponsored 401(k) retirement plans through an affiliated life insurance company.