Latest compliance

NSCP Currents - Compliance Year-End Preparation Checklist

Featured in the December 2017 edition of the National Society of Compliance Professionals ("NSCP")  Currents  publication, our Lead Senior Compliance Consultant,  Tina Mitchell , provides guidance on compliance and what you should be thinking about to prepare for 2018. 

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Latest compliance

2017 Solutions for Compliance Professionals

At the beginning of every year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) identifies its examination priorities for the coming year. These priorities, which are based on perceived heightened risks to investors and the U.S. capital...

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Beyond the DOL Rule - A Look at SEC Expectations for Advisers Managing Retirement Accounts

The fate of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “DOL Rule”) is uncertain. However, regardless of whether the rule gets delayed or repealed, the Securities and Exchange Commission (“SEC”) continues to focus on the services being provided by investment advisers to...

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Why Investment Advisers Should Perform Annual Risk Assessments

"Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”).  To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, monitoring risk applicable...

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Creating a Robust Compliance Program

The Compliance Program

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Are You a Level Fee Fiduciary?

The Department of Labor’s (“DOL’s”) Conflicts of Interest rule (“the DOL Rule”),[1] and its broad applications, will inevitably impact a wide range of retirement investors and most financial services firms that deal directly with investors.  As the DOL Rule will materially go into effect April 10,...

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Compliance Year-End Preparation Checklist

The end of 2016 is fast approaching and the financial services industry has been hit this year with some very important and complicated new regulations, such as the Department of Labor’s Conflicts of Interest Rule (“DOL Rule”) and the Securities and Exchange Commission’s (“SEC”) amendments to Form...

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2015 CCLS Compliance End-Of-Year Checklist Update

On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets and financial services industry.

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Wolters Kluwer - Regulatory Pitfalls Regarding Fee Based Accounts

July/August 2015

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Soft-Skills: How to Develop Successful Project Management for Compliance Initiatives

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Social Media - Compliance Risk Management Considerations

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The Current Landscape of Anti-Money Laundering

Core Compliance℠ featured in NSCP's Currents, the April 2015 Special Reprint edition.  In this article, Robert Boeche goes in depth in an article detailing the current landscape of anti-money laundering. He reviews the regulations, the duties of investment advisers, industry trends, anticipated AML...

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