The Dangers of Recidivist Deficiencies and the SEC’s Compliance Program Initiative
December 23, 2014
by
Core Compliance
December 2014 “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”). Recidivism refers to occurrences where an RIA has not corrected deficiencies noted in … Read More
Year-End Planning for Gifts and Entertainment
November 21, 2014
by
Core Compliance
November 2014
Compliance End-Of-Year Checklist Update
November 18, 2014
by
Core Compliance
October 2014
Proxy Voting Considerations for Using Third-Party Vendors
November 18, 2014
by
Tina Mitchell
September 2014
Compliance Considerations for Advisers and Sub-Advisers of Mutual Funds
August 21, 2014
by
Tina Mitchell
August 2014
Soft Dollars and Disclosure
June 26, 2014
by
Core Compliance
June 2014
Cybersecurity – Important Considerations for IAs and BDs
May 27, 2014
by
Tina Mitchell
May 2014
Social Media Guidance for Broker-Dealers
April 30, 2014
by
Core Compliance
April 2014
