Episode 74: Supervision Considerations under the COVID – 19 Pandemic
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
SEC Charges Private Equity Firm with Compliance Failures
On May 26, 2020, the Securities and Exchange Commission (“SEC”) announced that Los Angeles-based private equity firm and registered investment adviser, Ares Management LLC (“Ares” or the “Firm”) agreed to a cease-and-desist order, censure, and to pay a $1 million … Read More
NSCP Currents – Considerations for 2020 and Focus on SEC Exam Priorities
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
Episode 73: Cybersecurity for Working from Home During COVID-19
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
NSCP Webinar: Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |
Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
Performing Due Diligence on Service Providers is Essential During COVID-19
Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest. The Securities and Exchange Commission (“SEC”) describes … Read More
Compliance with Form CRS Requirements: OCIE Announces Examination Priorities
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
Episode 70: Interview with Jessica Thayer of Starkweather and Shepley Insurance Brokerage
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.