Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools.
In late February charges of fraud by the SEC against a broker-dealer and its transfer agent were the latest in a series of SEC enforcement actions against parties engaged in the formation and trading of “blank check” companies.
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.
In the first case of its kind, charges have been filed against a firm for failure to meet the standards of identity theft the Red Flags Rule, which sets standards for the protection of customers against identity theft. Des Moines … Read More
This week, on episode 25, we discuss the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.
We live in a world filled with bad actors who consistently attempt to take advantage of flaws and weaknesses in our financial systems, often to the detriment of the law-abiding majority. When these efforts reach a grand scale in the form … Read More
The 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 … Read More
[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 … Read More
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
On August 10, 2016, the SEC filed a complaint in federal court against Merrill Robertson Jr., a former Philadelphia Eagles football player, with defrauding investors. Mr. Robertson, along with Sherman C. Vaughn, Jr., and the company they co-owned, Cavalier Union … Read More