Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
Why the SEC’s Scrutiny of Digital Assets Creates Opportunity for Financial Advisers
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … Read More
Regulatory Compliance Watch: The SEC’s New Proposed Advertising Rule (Webinar)
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
Episode 58: Principal Trading & Agency Cross-Transactions
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
Episode 56: Proxy Voting for Investment Advisers
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
Year End Compliance Checklist Considerations for Investment Advisers
With another year winding down, compliance personnel needs to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion. Consideration of any regulatory changes, guidance, and risk alerts issued during the year, emerging best practices … Read More
Episode 52: Fiduciary Duty
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.
Best Execution Considerations for Investment Advisers
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
Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.