The Financial Industry Regulatory Authority (“FINRA”) and Prometric Testing Centers have announced additional accommodations and updates for individuals seeking to take exams for the Securities Industry Essentials (“SIE”) and Series 6, 7, 65, 66, and 63 Exams, and fulfillment of … Read More
A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More
What is “Outsourcing”? Outsourcing can be defined as the act of contracting certain work or services out to a third party, typically as a replacement for conducting that service internally. In today’s market, many organizations choose to outsource specific, everyday … Read More
Eric Clarke, chief executive officer for Orion Advisor Solutions (Orion), was interviewed for Financial Planning’s Lightning Round. In the interview, Clarke describes the greatest threat to independent advisors as changes occur in the regulatory landscape. Clarke describes utilizing technology … Read More
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
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
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
On Episode 56 , we take a look at the SEC’s release on proxy voting 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