As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
Whether you’re a seasoned compliance professional or just getting started in the industry, one of the biggest hurdles you may encounter is aligning senior management with compliance. At Core Compliance & Legal Services, Inc. (“Core Compliance”), we often hear “if … Read More
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
February 27 – March 2, 2023 | Orion Ascent Conference | Attendee: Jason Ewasko, Chief Development Officer
I don’t know about you, but many compliance professionals find regulatory examinations to be daunting and at times even a little scary. I don’t know anyone that enjoys exams or looks forward to a regulator looking under the hood and … Read More
At Core Compliance, we encourage our clients to build a culture of compliance and to set the “tone from the top.” This is, of course, common practice in the financial services industry, but recently we were asked, “what happens after … Read More
On Episode 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry.
When a regulator shows its hand, take it seriously—a poignant lesson that one is wise to heed. At the end of January, the Securities and Exchange Commission (“SEC”) released a Risk Alert entitled ‘Observations from Broker-Dealer Examinations Related to Regulation … Read More
As we all know in the compliance and the financial services industries, as a registered investment adviser or as an employee of the adviser, you have a fiduciary duty to put your clients’ interests ahead of your own. But as … Read More