NSCP Webinar: How To Create A Strong Culture Of Compliance
July 25, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
Forbes Council – Creating a Strong Culture of Compliance
Core Compliance’s article was featured in Forbes Council (blog) titled “Creating a Strong Culture of Compliance” published July 8, 2019. The article discusses what it means for a firm to have an established “tone at the top”, as well as … Read More
Forbes Council Features President Core Compliance President
Core Compliance’s President was quoted on the Forbes Council blog post, “Investing In The Stock Market: 12 Tips For Newcomers” on December 13, 2019. Tito and other industry experts offer their best tips for investing in the stock market to … Read More
The Pros and Cons of Outsourcing Your Chief Compliance Officer (“CCO”)
What is “Outsourcing”? Outsourcing can be defined as the act of contracting certain work or services out to a third party, typically as a replacement for conducting that service internally. In today’s market, many organizations choose to outsource specific, everyday … Read More
Charles Schwab Corp. to Purchase TD Ameritrade for $26 billion
Charles Schwab Corp. announced it has agreed to purchase TD Ameritrade Holding Corp. for $26 billion in an all-stock transaction, combining two of the largest custody service providers to independent financial advisers. After the merger, the combined firm will have … Read More
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
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
NSCP Currents – Best Execution Considerations for Advisers
Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Best Execution Considerations for Advisers,” was featured in the November 2019 edition of the National Society of Compliance Professionals’ Currents. The article discusses consideration factors for seeking best execution, testing protocols for different types … Read More
Why the SEC’s Scrutiny of Digital Assets Creates Opportunity for Financial Advisers
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … 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