Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
Flouting Compliance: A New York-Based Investment Advisory Firm Charged by the SEC
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
Non-Public Form N-PORT: Changes to Filing Date
Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm.
Episode 41: Best Practices Regarding the SEC’s Share Class Selection Disclosure Initiative
We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.
Episode 39: Verifying Personal Disclosures
On this week’s episode we discuss the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.
Which Disclosures Belong in Your Form ADV Amendment?
When you prepare your Form ADV annual amendment, the central task is capturing material changes since your last filing — new or changed conflicts of interest, fees, services, affiliations, and disciplinary events — and disclosing them clearly and completely. Now … Read More
Episode 24: Steps for Performing a Risk Assessment
Episode 24 features Core Compliance’s Lead Senior Compliance Consultant, Tina Mitchell. Tina’s back to discuss the integral steps to performing a Risk Assessment and informs our audience of core risk areas. She also provides key examples and scenarios that listeners … Read More
Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number of sources, but the level of potential damage to individual firms and the overall market also increases … Read More
Annual vs Other Than Annual Form ADV Amendments
With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. Most firms should have spent the last few weeks gathering specific data points to address the … Read More
Standing Letters of Authorization (SLOAs) and the SEC Custody Rule: Do You Have Custody?
The short answer: if your firm can direct client money to a third party under a standing letter of authorization, the SEC generally treats that as custody — which means it belongs on your Form ADV, and it can carry … Read More