Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
Episode 67: Due Diligence of Investments
We discuss the Due Diligence of Investments on episode 67 of the CCO Buzz.
Episode 64: GIPS 2020 – Are You Ready?
On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020.
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
SEC Proposes Amendments to OTC Securities Quotations
Over the past several years, The Securities and Exchange Commission (“SEC”) has brought hundreds of enforcement actions over violations of federal securities involving over-the-counter (OTC) securities, resulting in tens of millions in harm to retail investors. In an effort to … Read More
Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
Firm’s Willful Lack of Disclosure to Investors Results in $5.5M Fine
On Monday, September 16, 2019, the Securities and Exchange Commission settled charges against Marvell Technology Group for misleading investors when it engaged in an undisclosed revenue management scheme in order to meet publicly issued revenue guidance.
SEC Shines Light on Agency and Trading Cross Transactions
The most recent Risk Alert distributed by the Securities and Exchange Commission (“SEC”) focused on many compliance issues that have been identified relating to principal trading and cross agency transactions. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) provided … Read More
Broker-Dealers Fined $4.65 Mil for Inadequate EBS Reporting Processes
On September 16, 2019, the Securities and Exchange Commission announced it had levied fines against two broker-dealers for providing incomplete and inaccurate securities trading information known as “blue sheet data.” The SEC often submits data requests as part of its … Read More
Performing Due Diligence & Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II
Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.