Through their examination process, the Office of Compliance Inspections and Examinations (OCIE) has uncovered a number of compliance concerns pertaining to Regulation S-P, the Securities and Exchange Commission (SEC) regulation that defines requirements for privacy notices and safeguard policies that … Read More
Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools.
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
Every registered investment adviser and employee of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is … Read More
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
On March 12, 2019, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management published a letter addressed to the Investment Adviser Association seeking input from interested parties regarding custody issues related to: Investment adviser and custodial trading practices that … Read More
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 2,” was featured in the April 2019 edition of the National Society of Compliance Professionals’ Currents.