Schwab National Summit
Michelle Jacko will be presenting a “Cybersecurity Workshop” at the Schwab National Summit in Ft. Lauderdale on April 6-7, 2017.
Why Investment Advisers Should Perform Annual Risk Assessments
“Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”). To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, … Read More
SEC Fined 10 Firms for Violating Pay-to-Play Rule
In June 2010, the SEC adopted Rule 206(4)-5 of the Investment Advisers Act of 1940, which addressed “pay-to-play” practices surrounding political contributions. Pay to play is a term used in the financial industry that generally refers to investment advisers making … Read More
Wolters Kluwer – Today’s Challenges for Servicing Aging Clients
September/October 2016
Investment Adviser | Registration | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC vs. State Investment Adviser Registration: A Complete FAQ Guide
There are many facets surrounding the registration of investment advisory firms (“IA Firm”) and investment adviser representatives (“IAR”) and the process can be erroneous if not performed correctly. Since registration is one of our core service offerings, we get asked … Read More
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
NSCP Spring Conference – Newport Beach, CA
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
Ascendant Compliance Conference
CEO, Michelle Jacko, will be at Ascendant’s 2017 Compliance Conference in Naples, FL from Monday, April 3-5, 2017.
2017 NSCP Annual Conference
From October 17-19, 2017, Core Compliance will be at the 2017 NSCP Annual Conference in Washington, D.C.
End of Year is Almost Here – Are You Prepared?
2016 is speeding to a close, so to assist advisory firms in preparing for year-end compliance requirements, along with certain upcoming regulations, Core Compliance & Legal Services, Inc. (“Core Compliance”) recently published a Risk Management Update (“RMU”) that contains a … Read More