Episode 81: Preparing for Year-End
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
Help Protect Client Accounts by Planning, Practicing and Promoting Proper Cyber Hygiene
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More
NSCP Webinar: Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices
November 12, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Michelle L. Jacko and Robert Hille
Dually Registered Firms: Steps for Performing an Efficient Annual Review and Gap Analysis
In accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Act”), as amended, an investment adviser (“RIA”) registered with the Securities and Exchange Commission (“SEC”) is required to conduct an annual compliance review to assess the adequacy … Read More
SEC Clarifies FAQs on Legal and Disciplinary History Responses for Form CRS
On October 8, 2020, the U.S. Securities and Exchange Commission released updated guidance to help clarify questions that have surfaced regarding the information on the firm and employee disciplinary history that must be disclosed on the client relationship summary (Form … Read More
Area of Focus for Your Annual Review: Books and Records
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”). The rule requires SEC-registered investment advisers (“RIAs”) to annually review “the adequacy of the … Read More
Episode 80: Vital Considerations for Conducting an Annual Review
On episode 80 of the CCO Buzz, Core Compliance discuss vital considerations for conducting an Annual Review.
A Change in State Oversight Prompts California’s Investment Advisors to Review Their Policies and Procedures
To help strengthen the state’s consumer protection laws and oversight of the financial industry, California has passed legislation that has changed the name of the Department of Business Oversight (DBO) to the Department of Financial Protection and Innovation (DFPI) and … Read More
IAA Compliance Corner: How to Improve Your Compliance Program
CEO Michelle Jacko’s article, “How to Improve Your Compliance Program,” was published in the October 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner Newsletter. In the article, Ms. Jacko provides readers with additional ways to improve their Compliance … Read More
Preparing for the U.S. Department of Labor’s Proposed Clarification on ERISA Proxy Voting
On August 31, 2020, the U.S. Department of Labor (DOL) released a proposal under the Employee Retirement Income Security Act of 1974 (ERISA) to amend fiduciary duties regarding proxy voting and shareholder rights. This particular rule is only in the … Read More