September 15 , 2016 – Wolters Kluwer Modern Compliance
CEO, Michelle Jacko and consultant Tina Mitchell will be presenting: Chapter on Due Diligence.
CEO, Michelle Jacko and consultant Tina Mitchell will be presenting: Chapter on Due Diligence.
On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule on customer due diligence (the “CDD Rule”). This rule addresses new and existing due diligence requirements for Covered Financial Institutions (as defined in the rule), which … Read More
Amendment to FINRA Rule 2210
On April 6, 2016, the Department of Labor’s (“DOL”) proposed rule expanding the definition of the term “fiduciary” and addressing certain conflicts of interest was adopted and published (the “DOL Conflicts Rule”). While the final rule is not as extensive … Read More
In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 … Read More
Preparing for a regulatory exam can be overwhelming. Watch to learn how Core Compliance can help.