Wolters Kluwer – Today’s Challenges for Servicing Aging Clients
September/October 2016
SEC Examination Priorities for 2017
Examination Priorities Each year the SEC Office of Compliance Inspections and Examinations publishes their SEC examination priorities letter to inform the industry of their current focus areas. The 2017 letter was released on January 12, 2017, and is available on … Read More
NSCP Spring Conference – Newport Beach, CA
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
FINRA Announced Its 2017 Exam Priorities
According to Robert W. Cook, since becoming the president and CEO of FINRA in August 2017, he has “been engaged in an ongoing ‘listening tour’ meeting with member firms, regulators and investor groups, among others.” In the cover letter he … Read More
Ascendant Compliance Conference
CEO, Michelle Jacko, will be at Ascendant’s 2017 Compliance Conference in Naples, FL from Monday, April 3-5, 2017.
End of Year is Almost Here – Are You Prepared?
2016 is speeding to a close, so to assist advisory firms in preparing for year-end compliance requirements, along with certain upcoming regulations, Core Compliance & Legal Services, Inc. (“Core Compliance”) recently published a Risk Management Update (“RMU”) that contains a … Read More
The Next Iteration of Fraudulent Disbursements
Criminal activity is constantly evolving. Fraud emanating from a compromised email account is fairly well known and most firms have implemented authentication procedures to address fraudulent third-party wire transfers. However, another threat has recently gained traction in the financial industry, … Read More
Mary Jo White Stepping Down as Chair of Securities and Exchange Commission
On November 14, 2016, Mary Jo White, SEC Chair, announced her plans to step down at the end of the Obama Administration. During her tenure, the SEC brought more than 2,850 enforcement actions and obtained judgements and orders that tallied … Read More
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 … Read More
NFA Updates to Self-Examination Questionnaire
On August 15, 2016, the National Futures Association (NFA), the self-regulatory organization for the U.S. derivatives industry, made revisions to its Self-Examination Questionnaire that is required to be completed annually by Financial Commission Merchants (FCMs), Forex Dealer Members (FDMs), Introducing Brokers … Read More