September 15 , 2016 – Wolters Kluwer Modern Compliance
CEO, Michelle Jacko and consultant Tina Mitchell will be presenting: Chapter on Due Diligence.
How Robust is Your Annual Review Process?
Federal regulations require investment advisers and registered investment companies to review their compliance policies and procedures annually to ensure adequacy. Core Compliance & Legal Services, Inc. recently published a Risk Management Update (“RMU”), which discusses Securities and Exchange Commission (“SEC”) … Read More
SEC Chair White Speech Outlines Future Areas of Regulatory Focus for Mutual Fund Industry
In a keynote address given to the Investment Company Institute during their 2016 General Meeting, the Securities & Exchange Commission (“SEC”) Chair Mary Jo White provided not only an overview of current areas of interest and proposals affecting mutual funds, … Read More
SEC Held Compliance Outreach Program for Investment Advisers and Investment Companies
On April 19, 2016, the Securities and Exchange Commission (“SEC”) held their National Compliance Outreach seminar, which covered a number of topics, including:
SEC Chair White Requests Additional Resources for Expanding Oversight of Investment Advisers
During her testimony to the U.S. Senate Subcommittee on Financial Services and General Government Committee on Appropriations, Chair White outlined the SEC’s top priorities for allocating the additional funding requested under their fiscal year 2017 (October 1, 2016, through September … Read More
2016 Solutions for Compliance Professionals
In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 … Read More
Preparing for a Regulatory Exam
Preparing for a regulatory exam can be overwhelming. Watch to learn how Core Compliance can help.