Aging Client Considerations at Top of 2018 SEC Exam Priorities
The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme. The focus on these investors has … Read More
NSCP Currents – Compliance Year-End Preparation Checklist
Featured in the December 2017 edition of the National Society of Compliance Professionals (“NSCP”) Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, provides guidance on compliance and what you should be thinking about to prepare for 2018.
2017 IA Watch & Core Compliance West Coast Regional Conference
We’re excited to announce that Core Compliance, in conjunction with IA Watch, is co-sponsoring the upcoming conference, IA Compliance: The Full 360° View, West Critical and Timely Insight for Investment Adviser Compliance Professionals.
2017 Solutions for Compliance Professionals
At the beginning of every year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) identifies its examination priorities for the coming year. These priorities, which are based on perceived heightened risks to investors and the … Read More
Preparing for SEC Exams: Top Five Identified Deficiencies by the OCIE
In February 2017, the Securities and Exchange Commission (“SEC”) published a Risk Alert highlighting the top five most common compliance topics identified in deficiency letters issued to SEC registered investment advisers (“RIA”).
Schwab Advisory Board Conference
Core Compliance will be presenting on “The Evolution of Cybersecurity” at the Schwab Advisory Board Conference in Denver, CO, on Tuesday, February 28th.