The Current Landscape of Anti-Money Laundering
Core Compliance℠ featured in NSCP’s Currents, the April 2015 Special Reprint edition. In this article, we go in depth in an article detailing the current landscape of anti-money laundering. He reviews the regulations, the duties of investment advisers, industry trends, … Read More
Thomson Reuters – The Danger of Recidivism and the SEC’s Compliance Initiative
March 30, 2015 “In the past few years, the Securities and Exchange Commission (SEC) has taken a tougher stance against recidivist behavior by registered investment advisory firms (RIAs).
Core Compliance’s Latest RMU: Valuation – What Investment Advisers Should Know
Last month, Core Compliance & Legal Services, Inc. (“Core Compliance”) published its monthly Risk Management Update (“RMU”), written by Managing Director, Consultation Services, Tina Mitchell. Ms. Mitchell’s RMU, titled Valuation – What Investment Advisers Should Know, provides an overview of … Read More
The Importance of An Adviser’s Annual Review
Mar./Apr. 2013