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.
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
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
Accounting Clerk Position Available: Full-Time Accounting Clerk Core Compliance & Legal Services, Inc.℠ (“Core Compliance”) specializes in providing compliance and risk management for the financial industry, which includes investment advisers, investment companies, broker-dealers, and advisers to private funds. We … Read More
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
We are proud and honored to announce that CEO Michelle L. Jacko has been included as a finalist for the 2022 CEO of the Year Awards by the San Diego Business Journal. According to SDBJ, “Now in its 17th year, … Read More
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.
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
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
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