Michelle Jacko to Speak at 2022 NSCP National Conference
October 17-19, 2022 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP
Managing Books and Records Through Technology
The implementation of technology has become an integral component in the administration of a compliance program. Gone are the days of maintaining hardcopies in filing cabinets and conducting manual reviews of compliance tests. Similar to the adoption of technology in … Read More
Episode 98: Robo-Advisers: Compliance Considerations and Regulatory Focus
On episode 98 of the CCO Buzz, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
Disclosures | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
Robo-Advisers are Not Immune from Compliance Failures
Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2] The most reoccurring are violations … Read More
Understanding the SEC Newly Proposed ESG Disclosure Requirements
The U.S. Securities and Exchange Commission (“SEC”) has announced it has proposed to amend Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Investment Company Act”) requiring additional disclosures related to their Environmental Social and … Read More
Compliance Evolution: Outsourcing Solutions for 2022
As the world of investment compliance continues to evolve and the scope of service needs widen, compliance professionals in the industry are leveraging technology and third-party vendors to meet the demands and expectations of regulators. Partnering with vendors and service … Read More
Episode 97: Creating a Culture of Compliance by Setting the Tone at the Top
On episode 97 of the CCO Buzz podcast, a Sr. Compliance Consultant and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
Blog | Conflicts of Interest Rule | Disclosures | Investment Adviser | Securities and Exchange Commission (SEC)
What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers
Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More
SEC Issues Risk Alert On Investment Adviser MNPI and Code of Ethics Issues
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
Setting the Tone from the Top: Getting Executive Buy-In
There are many factors that go along with having a successful compliance program. Achieving executive buy-in is an integral part of building and maintaining a culture of compliance in any firm. Setting a tone at the top creates a clear … Read More