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
October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
As adults ages 65 years and up have become the fastest growing demographics in America, they now make up the majority population of American investors. Due to the nature and vulnerability of seniors, there is renewed interest for Financial Professionals … Read More
With the implementation deadline of the new SEC Marketing Rule fast approaching, there are many factors investment advisory firms need to consider. Social media has become a powerful marketing tool for investment advisors to put themselves in front of more … Read More
In partnership with Starkweather and Shepley, the team at Core Compliance & Legal Services, Inc. SM (“Core Compliance”) is excited to announce this year’s Annual Compliance Awards. After last year’s success and growing interest, we’ve decided to enhance our awards … Read More
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
On episode 98 of the CCO Buzz, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
The U.S. Securities and Exchange Commission (“SEC”) has announced it has proposed to amend Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Investment Company Act”) requiring additional disclosures related to their Environmental Social and … Read More
As the world of investment compliance continues to evolve and the scope of service needs widen, compliance professionals in the industry are leveraging technology and third-party vendors to meet the demands and expectations of regulators. Partnering with vendors and service … Read More