New Requirements for Certain Broker-Dealer Operations Personnel on the Horizon
April 26, 2011
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Core Compliance
April 2011
Government Shutdown Could Freeze Investigations and Enforcement Actions by SEC and Other Federal Regulators
April 8, 2011
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Core Compliance
Although the SEC would maintain some functionality in the event of a government shutdown, the majority of its activities, including inspections and examinations of registered investment advisers and broker-dealers would and ongoing enforcement actions would be discontinued until after a … Read More
Regulatory Update: New Reporting Requirements for Outside Business Activities
March 25, 2011
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Core Compliance
March 2011
Regulatory Update: FINRA’s Annual Regulatory and Examinations Priorities Letter
February 21, 2011
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Core Compliance
Feb. 2011
SEC Study on Enhancing Investment Adviser Examinations Includes Possible Creation of SRO for Advisers
January 28, 2011
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Core Compliance
On January 19, 2011, the SEC submitted to Congress the much-anticipated Study on Enhancing Investment Adviser Examinations, as required by Section 914 of the Dodd-Frank Act. The Study gives Congress three options for improving the SEC’s examination program to address … Read More
Succession Planning: A Critical Component to Your Business Continuity Plan
September 24, 2010
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Core Compliance
Sept. 2010