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:
On April 19, 2016, the Securities and Exchange Commission (“SEC”) held their National Compliance Outreach seminar, which covered a number of topics, including:
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
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 can be overwhelming. Watch to learn how Core Compliance can help.
On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets … Read More
On October 22, 2015, the Securities and Exchange Commission (“SEC”) released information on the enforcement cases they’ve brought during their 2015 fiscal year, which ended on September 30, 2015. The results as compared to 2014, including an additional 52 cases … Read More
Over the last year, cybersecurity has been a top focus for the Securities and Exchange Commission (“SEC”) prompting them to issue various guidance to financial firms in the way of risk alerts and guidance statements, and to investors via investor … Read More
Recently, Andrew Ceresney, Director of the Division of Enforcement for the Securities and Commission Exchange (“SEC”), spoke at the University Of Texas School Of Law’s Government Enforcement Institute in Dallas. Mr. Ceresney reflected on the five-year anniversary of the SEC’s … Read More
Because the world of compliance is ever-changing, with some areas being elusive, Core Compliance stresses the importance of continuing education. Last week the Securities and Exchange Commission (“SEC”) released the schedule for Compliance Outreach Program seminars. This year, 6 major … Read More