NSCP Webinar: How To Create A Strong Culture Of Compliance
July 25, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
Broker-Dealers | CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 65: The SEC’s Examination Priority Areas for Advisers & Broker-Dealers in 2020
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC’s examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
Episode 63: Cybersecurity Training for Employees
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Gifts & Business Entertainment Conflicts – The Ongoing Challenge for Broker-Dealers
Managing Conflicts Managing a broker dealer’s gifts and business entertainment conflicts can be an ongoing challenge for even the best compliance team. This task can become even more challenging as the holidays approach. You want to thank your clients for … Read More
SEC Charges 18 in Elaborate $31 Million Stock Manipulation Scheme
On October 16, 2019, The Securities and Exchange Commission filed an emergency action and obtained an asset freeze against 18 traders in a multiyear scheme to manipulate more than 3,900 U.S.-listed securities that resulted in more than $31 million in … Read More
SEC Proposes Amendments to OTC Securities Quotations
Over the past several years, The Securities and Exchange Commission (“SEC”) has brought hundreds of enforcement actions over violations of federal securities involving over-the-counter (OTC) securities, resulting in tens of millions in harm to retail investors. In an effort to … Read More
Hefren Tillotson, Inc. Settles Charges of Undisclosed Compensation
Registered investment adviser and broker-dealer Hefren-Tillotson, Inc. agreed to settle charges from the Securities and Exchange Commission (“SEC”) for undisclosed compensation it received from its unaffiliated clearing broker. The firm will pay disgorgement of $254,060, prejudgment interest of $45,905 as … Read More
Cybersecurity Considerations to Address in Preparation for 2020
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
Broker-Dealers Fined $4.65 Mil for Inadequate EBS Reporting Processes
On September 16, 2019, the Securities and Exchange Commission announced it had levied fines against two broker-dealers for providing incomplete and inaccurate securities trading information known as “blue sheet data.” The SEC often submits data requests as part of its … Read More
Join the Cybersecurity Conversation Webinar September 24, 2019
September 24, 2019 | RightSize Solutions