Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
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
Episode 58: Principal Trading & Agency Cross-Transactions
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
Firm’s Willful Lack of Disclosure to Investors Results in $5.5M Fine
On Monday, September 16, 2019, the Securities and Exchange Commission settled charges against Marvell Technology Group for misleading investors when it engaged in an undisclosed revenue management scheme in order to meet publicly issued revenue guidance.
SEC Shines Light on Agency and Trading Cross Transactions
The most recent Risk Alert distributed by the Securities and Exchange Commission (“SEC”) focused on many compliance issues that have been identified relating to principal trading and cross agency transactions. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) provided … 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
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Alts for RIAs 2019 Seminar
November 7, 2019 | San Francisco, CA | Alts for RIAs 2019
Episode 56: Proxy Voting for Investment Advisers
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
Core Compliance President Featured on Enterprise Podcast Network
Core Compliance’s President was featured on the Enterprise Podcast Network on September 16, 2019. During his episode, “Consumers Need to Do Their Due Diligence When Selecting a Trusted Advisor,” he discusses what a consumer should do when looking for an … Read More