This year will certainly be one for the history books. The worldwide pandemic continues to impact our country and the way we live. For the financial industry, we have witnessed evolutions and changes of focus in regulatory examinations.
On July 10, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert highlighting a recent increase in ransomware attacks against financial industry participants. The risk alert highlights the importance for financial … Read More
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
On Episode 58, we discuss investment adviser principal trading and agency 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
September 24, 2019 | RightSize Solutions
With another year winding down, compliance personnel needs to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion. Consideration of any regulatory changes, guidance, and risk alerts issued during the year, emerging best practices … Read More
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
Our CEO Michelle Jacko’s article, “How Risk Alerts Can Help You Prepare for Your Next Examination,” was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.