Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Cybersecurity Testing as Part of the Annual Review
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More
Episode 52: Fiduciary Duty
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.
Improper Billing Practices Draw SEC Fraud Charges
“An adviser that fails to adhere to the terms of these agreements and disclosures, or otherwise engages in inappropriate fee billing and expense practices, may violate the Investment Advisers Act of 1940, and the rules promulgated thereunder, including the antifraud … Read More
The Town of Oyster Bay Settles SEC Fraud Charges
In early June, the town of Oyster Bay New York settled 2017 charges issued by the Securities and Exchange Commission (SEC) that it committed fraud related to Municipal Bond Securities it sold investors while failing to disclose the nature and … Read More
OCIE Identifies Compliance Shortcomings Regarding Privacy Notices and Safeguard Policies (Regulation S-P)
Through their examination process, the Office of Compliance Inspections and Examinations (OCIE) has uncovered a number of compliance concerns pertaining to Regulation S-P, the Securities and Exchange Commission (SEC) regulation that defines requirements for privacy notices and safeguard policies that … Read More
Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
NSCP Webinar: Cybersecurity Risks You May Not be Considering
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
SD Voyager – Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown
Our CEO Michelle Jacko was featured in an SD Voyager article titled “Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown” on May 23, 2019. In the article Michelle participates in a Q&A interview where she discusses her journey in … Read More