At the end of each month, Core Compliance & Legal Services, Inc. (“Core Compliance”) publishes a Risk Management Update (RMU), an in-depth article written by one of our staff members on a current relevant topic in the compliance, securities and … Read More
The beginning of the year 2014 is upon us, and the Securities and Exchange Commission (“SEC”) has announced the date and open registration for the agency’s Compliance Outreach Program (“COP”) annual National Seminar in Washington, D.C., to be held on … Read More
In yet another case of negligence in regulatory internal controls, the Securities and Exchange Commission (SEC) sanctioned GLG Partners L.P., a UK-based hedge fund adviser, and its US-based holding company, GLG Partners Inc., with failure to implement the “proper controls” … Read More
At the end of each month, Core Compliance & Legal Services, Inc. (“Core Compliance”) publishes a Risk Management Update (RMU), an in-depth article written by one of our staff members on a currently relevant topic in compliance, securities, and investment … Read More
At the start of November 2013, the Securities and Exchange Commission’s (SEC) Investment Management Division released a Guidance Statement to address certain inquiries regarding the determination of the “qualified client” status under Rule 205-3 of the Investment Adviser’s Act of … Read More
At the start of September 2013, computer giant Dell Inc. released a series of findings made by three US proxy advisory firms – Institutional Shareholder Services (ISS), Glass Lewis, and Egan Jones – recommending Dell shareholders to support a proposed … Read More
At the end of each month, Core Compliance & Legal Services, Inc. (“Core Compliance”) publishes a Risk Management Update (RMU), an in-depth article written by one of our staff members on a currently relevant topic in compliance, securities, and investment … Read More
August 27, 2013: A new Risk Alert released by the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (OCIE) details new considerations for investment advisers in establishing business continuity plans (BCPs) and disaster recovery plans. Focusing specifically … Read More
