In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies of all businesses and the team at Core Compliance … Read More
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must-read for trendspotters who want to know what … Read More
Core Compliance’s article, “How to Prepare for an SEC Cybersecurity Exam,” was published in the October 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article discusses the steps your firm can take to prepare for and thrive during … Read More
Managing Director, Consultation Services Tina Mitchell’s article, “State Advisers – ImportantInformation to Prepare for a Regulatory Exam,” was published in the July 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. In the article, Ms. Mitchell discusses regulations that can … Read More
Investment advisers are regulated entities subject to various securities laws. State registered investment advisers are subject to the regulations of each state the firm is registered with; however, those are not the only securities laws that can apply to … Read More
CEO Michelle Jacko’s article, “Considerations for 2020 and Focus on SEC Exam Priorities,” was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article provides an overview of the Securities and Exchange Commission’s 2020 Examination … Read More
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Form CRS under both the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, with a compliance deadline of June 30, 2020. As that deadline … Read More
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
Senior retail investors and cybersecurity. The only thing they have in common is their presence on the list of examination priorities this year for the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The priorities are published … Read More
A focus on the retail investor and cyber-related misconduct resulted in a record total of $4.3 billion in disgorgements and penalties ordered by the Securities Exchange Commission in 2019. Among the Commission’s 862 enforcement actions were a $100 million fine … Read More