The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators … Read More
We introduce and get to know Core Compliance & Legal Services’ very own Compliance Consultant, who discusses his journey into compliance and provides tips to breaking into the industry.
The issue of Robo-advisers (and the potential regulatory consequences of an adviser that relies heavily on automation to achieve what was traditionally achieved through human interaction) is nothing new. In fact, electronic investment advice has been a continuous SEC top … Read More
Speaker: Michelle Jacko
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
The New World of Compliance Core Compliance & Legal Services, Inc. (“Core Compliance”) will hold its annual symposium on Thursday, November 3rd, 2016, at the Sheraton Park Hotel in Anaheim, CA. (Across the street from Disneyland!)
In every walk of life, manual functions are being automated and securities compliance is no exception. This trend will likely continue, and for good reason: automation can create efficiency, improve accuracy and increase capacity. In this update we will address some of … Read More
Last week, the U.S. Securities and Exchange Commission (“SEC”) announced that Marc Wyatt will succeed Andrew Bowden as the Acting Director of the Office of Compliance Inspections and Examinations (“OCIE”). Although Wyatt has been with the SEC since 2012, for … Read More
It’s no secret that 2014 was the “year of the hacker”. Huge companies like JP Morgan and Apple were the victims of cybersecurity breaches that affected thousands of consumers. In an effort to reduce these attacks, both the Securities … Read More
