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.
SEC Examination Priorities for 2017
Examination Priorities Each year the SEC Office of Compliance Inspections and Examinations publishes their SEC examination priorities letter to inform the industry of their current focus areas. The 2017 letter was released on January 12, 2017, and is available on … Read More
FINRA Announced Its 2017 Exam Priorities
According to Robert W. Cook, since becoming the president and CEO of FINRA in August 2017, he has “been engaged in an ongoing ‘listening tour’ meeting with member firms, regulators and investor groups, among others.” In the cover letter he … Read More
SEC Alerts Registered Advisers About Share Class Exam Initiative
On July 13, 2016, the Securities and Exchange Commission (“SEC”), through their Office of Compliance Inspections and Examinations (“OCIE”), issued a Risk Alert outlining their exam initiative on risks and conflicts pertaining to investment adviser recommendations of mutual funds and … Read More
SEC Chair White Speech Outlines Future Areas of Regulatory Focus for Mutual Fund Industry
In a keynote address given to the Investment Company Institute during their 2016 General Meeting, the Securities & Exchange Commission (“SEC”) Chair Mary Jo White provided not only an overview of current areas of interest and proposals affecting mutual funds, … Read More
SEC Held Compliance Outreach Program for Investment Advisers and Investment Companies
On April 19, 2016, the Securities and Exchange Commission (“SEC”) held their National Compliance Outreach seminar, which covered a number of topics, including:
2016 Solutions for Compliance Professionals
In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 … Read More
2015 Core Compliance End-Of-Year Checklist Update
On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets … Read More
The SEC Continues to Bring “First-Of-Their-Kind” Enforcement Cases
On October 22, 2015, the Securities and Exchange Commission (“SEC”) released information on the enforcement cases they’ve brought during their 2015 fiscal year, which ended on September 30, 2015. The results as compared to 2014, including an additional 52 cases … Read More
SEC Announces 2015 Compliance Outreach Program Seminars
Because the world of compliance is ever-changing, with some areas being elusive, Core Compliance stresses the importance of continuing education. Last week the Securities and Exchange Commission (“SEC”) released the schedule for Compliance Outreach Program seminars. This year, 6 major … Read More