On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Form CRS under both the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, with a compliance deadline of June 30, 2020. As that deadline … Read More
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
Senior retail investors and cybersecurity. The only thing they have in common is their presence on the list of examination priorities this year for the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The priorities are published … Read More
A focus on the retail investor and cyber-related misconduct resulted in a record total of $4.3 billion in disgorgements and penalties ordered by the Securities Exchange Commission in 2019. Among the Commission’s 862 enforcement actions were a $100 million fine … Read More
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC’s examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
March 5-6, 2019 | Washington, D.C. | Speaker: Michelle Jacko, CSCP
Eric Clarke, chief executive officer for Orion Advisor Solutions (Orion), was interviewed for Financial Planning’s Lightning Round. In the interview, Clarke describes the greatest threat to independent advisors as changes occur in the regulatory landscape. Clarke describes utilizing technology … Read More
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts.