NSCP Webinar: Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond
August 4, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Core Compliance and Nicole Dragoo
Registered Investment Advisers – Time to Revisit your Disclosures?
Proper Disclosures are a Fiduciary Responsibility One of the most important fiduciary duties of a Registered Investment Adviser (“RIA”) is that of disclosure. Current regulations require disclosure of many aspects of a RIA’s business including, among many things, ownership, business … Read More
Top 3 Considerations for Conducting an Annual Review
Under Rule 206(4)-7 (“Compliance Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”), Investment Advisers (“RIAs”) that are registered with the Securities and Exchange Commission (“SEC”) must perform an annual review of the RIA’s policies and procedures (“P&Ps) to … Read More
Episode 74: Supervision Considerations under the COVID – 19 Pandemic
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
SEC Charges Private Equity Firm with Compliance Failures
On May 26, 2020, the Securities and Exchange Commission (“SEC”) announced that Los Angeles-based private equity firm and registered investment adviser, Ares Management LLC (“Ares” or the “Firm”) agreed to a cease-and-desist order, censure, and to pay a $1 million … Read More
FINRA Updates Web CRD and IARD Security with Multi-Factor Authentication
The Financial Industry Regulatory Authority (“FINRA”) has upgraded the Web Investment Adviser Registration Depository (“IARD”) and Central Registration Depository (“CRD”) to include multi-factor authentication (“MFA”) in an effort to make the websites more secure:
CEO Michelle Jacko Quoted on CNBC
CEO Michelle Jacko was featured in a CNBC article, “So Your Financial Advisor Took a PPP Loan. Here’s What That Means For You,” on May 14, 2020. In the article, Michelle discusses the circumstances surrounding disclosures of the Paycheck … Read More
MSRB Extensions of Deadlines during COVID-19 Pandemic
Due to the considerable operational obstacles faced by many entities under their regulatory umbrella due to COVID-19, the Municipal Securities Rulemaking Board (MSRB) has filed a rule change to provide regulatory relief by extending the compliance and testing deadlines for … Read More
Performing Due Diligence on Service Providers is Essential During COVID-19
Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest. The Securities and Exchange Commission (“SEC”) describes … Read More
Episode 70: Interview with Jessica Thayer of Starkweather and Shepley Insurance Brokerage
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.