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
Creating a Robust Compliance Program
The objective of the compliance program is to prevent, detect and correct violations of securities laws. To this end, investment advisers registered under Section 203 of the Investment Advisers Act of 1940 (the “Advisers Act”) are required to have a … Read More
Are You a Level Fee Fiduciary?
The Department of Labor’s (“DOL’s”) Conflicts of Interest rule (“the DOL Rule”),[1] and its broad applications, will inevitably impact a wide range of retirement investors and most financial services firms that deal directly with investors. As the DOL Rule will materially … Read More
Mary Jo White Stepping Down as Chair of Securities and Exchange Commission
On November 14, 2016, Mary Jo White, SEC Chair, announced her plans to step down at the end of the Obama Administration. During her tenure, the SEC brought more than 2,850 enforcement actions and obtained judgements and orders that tallied … Read More
2016 Core Compliance Annual Compliance Symposium Materials
Thank you for attending our 5th Annual Compliance Symposium in Anaheim, CA. We hope you enjoyed meeting the team and were able to gain valuable insight into the changes impacting our industry today. In keeping with cybersecurity best practices, we … Read More
Compliance Year-End Preparation Checklist
The end of 2016 is fast approaching and the financial services industry has been hit this year with some very important and complicated new regulations, such as the Department of Labor’s Conflicts of Interest Rule (“DOL Rule”) and the Securities … Read More
Form ADV | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC Releases Amendments to Form ADV and Other Investment Adviser Act Rules
In a press release dated August 25, 2016,1 the Securities and Exchange Commission (“SEC”) announced their issuance of a final rule, which amends Form ADV (Uniform Application for Investment Adviser Registration), along with five other rules under the Investment Advisers … Read More
SEC Sweep Results in 13 Enforcement Actions Against Advisers for Advertising a Third-Party’s False Performance Claims
On August 25, 2016, the SEC issued press release 2016-167 detailing the results of an enforcement sweep leading to settlements with thirteen investment advisers for advertising a third-party’s false performance claims.
SEC Amends Rules Under Investment Advisers Act
At the end of August, the Securities and Exchange Commission (“SEC”) issued a release amending a number of rules under the Investment Advisers Act of 1940 (“Advisers Act”), as well as Form ADV, which is the registration and reporting form … Read More