The fate of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “DOL Rule”) is uncertain. However, regardless of whether the rule gets delayed or repealed, the Securities and Exchange Commission (“SEC”) continues to focus on the services being … Read More
As a result of widespread confusion and uncertainty among investment advisers and other members of the financial industry, the Investment Adviser Association (IAA) sent a letter to the SEC’s Division of Investment Management requesting clarification and no-action relief pertaining to … Read More
Core Compliance will be presenting on “Cybersecurity – How to Protect Your Business” at the Annual South Florida FPA Conference in Boca Raton, FL, on April 27-28, 2017.
Michelle Jacko will be presenting a “Cybersecurity Workshop” at the Schwab National Summit in Ft. Lauderdale on April 6-7, 2017.
“Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”). To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, … Read More
September/October 2016
On December 27, 2016, the Securities & Exchange Commission (“SEC”) charged Emilio Francisco with defrauding investors seeking to participate in the EB-5 immigrant investor program. The EB-5 program, which is administered by the U.S. Citizenship and Immigration Service (“USCIS”), allows … Read More
CEO, Michelle Jacko, will be at Ascendant’s 2017 Compliance Conference in Naples, FL from Monday, April 3-5, 2017.
From October 17-19, 2017, Core Compliance will be at the 2017 NSCP Annual Conference in Washington, D.C.
Criminal activity is constantly evolving. Fraud emanating from a compromised email account is fairly well known and most firms have implemented authentication procedures to address fraudulent third-party wire transfers. However, another threat has recently gained traction in the financial industry, … Read More