5 Compelling Reasons to Seek Outsourced Compliance Services
For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, … Read More
Aging Client Considerations at Top of 2018 SEC Exam Priorities
The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme. The focus on these investors has … Read More
Preventative Regulatory Compliance — Save Time and Money (and Headaches) up Front
“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance. Preventative, proactive compliance programs save enormous amounts of time, money, and sanity. As most firms are well aware, … Read More
2018 Investment Adviser Compliance Conference – Discussions with the SEC
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More
Resources for Compliance Professionals – Your 2018 Guide
This year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update in February. The examination priorities were in a new brochure format, with a distinct section covering the five main … Read More
Risk Management Update: Compliance Year-End Preparation Checklist
It’s time to start thinking about all the compliance projects that need to be completed before the end of the year. While the Securities and Exchange Commission (“SEC”) slowed their pace on adopting new regulations during 2017, they continue to … Read More
2017 IA Watch & Core Compliance West Coast Regional Conference
We’re excited to announce that Core Compliance, in conjunction with IA Watch, is co-sponsoring the upcoming conference, IA Compliance: The Full 360° View, West Critical and Timely Insight for Investment Adviser Compliance Professionals.
High Profiled Risks Associated With Investment Advisory Firms
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been issuing written Risk Alerts since 2011 that outline areas the SEC believes carry high risks for broker-dealers and investment advisers. The areas covered in these alerts have included: