Episode 45: P&P Manual Updates
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
Non-DVP Custodial Practices and Digital Assets: Your Input Requested
On March 12, 2019, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management published a letter addressed to the Investment Adviser Association seeking input from interested parties regarding custody issues related to: Investment adviser and custodial trading practices that … Read More
Best Execution Considerations for Investment Advisers
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
Improper Disclosure: BB&T to Return $5+ Million to Retail Investors and Pay Penalty
BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services.
Your Compliance Arsenal: Essential Resources for Compliance in 2019
Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More
2019 Annual Shareholders Service Group Conference
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
ICI Mutual Fund Compliance Programs Conference
May 2, 2019 | Speaker: Core Compliance
Schwab Compliance Solutions 2019 National Conference
April 3-5, 2019 | “Best Practices for Managing Conflicts of Interest” | Speaker: Michelle Jacko, CSCP
IAA Investment Adviser Compliance Conference 2019
March 14, 2019 | Speaker: Michelle Jacko, CSCP
FINRA Releases Report on Effective Industry Cybersecurity Practices
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.