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
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
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.
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
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
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
November 7, 2019 | San Francisco, CA | Alts for RIAs 2019
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
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
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.