As the annual ADV filing deadline approaches, advisors must prioritize updating their Form ADV — the registration and disclosure form investment advisers file with the SEC — to ensure compliance with regulatory standards and uphold the principles of loyalty and … Read More
In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More
March 6 – 8, 2024 | Washington, DC | Speaker: Michelle L. Jacko, CSCP, CEO
Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody. It’s … Read More
In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the Model … Read More
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
For investment professionals, there are a seemingly endless array of rules and regulations to consider when reviewing a client’s existing investments and considering new investments to recommend. In this month’s Risk Management Update, we take a look at a few … Read More
“Familiarity breeds contempt” It’s an old saying that proves itself relevant again and again. When looking over the headlines or through the trade publication emails that fill our inboxes, even the most casual observer can find examples of someone whose … Read More