The Dangers of Recidivist Deficiencies and the SEC’s Compliance Program Initiative
Updated: February 14, 2023
by
Core Compliance
December 2014 “In the past few years, the Securities and Exchange Commission (“SEC”) has taken a tougher stance against recidivist behavior by registered investment advisory firms (“RIAs”). Recidivism refers to occurrences where an RIA has not corrected deficiencies noted in … Read More
Year-End Planning for Gifts and Entertainment
Updated: February 14, 2023
by
Core Compliance
November 2014
Compliance End-Of-Year Checklist Update
Updated: February 14, 2023
by
Core Compliance
October 2014
Proxy Voting Considerations for Using Third-Party Vendors
Updated: February 14, 2023
by
Tina Mitchell
September 2014
Compliance Considerations for Advisers and Sub-Advisers of Mutual Funds
Updated: February 14, 2023
by
Tina Mitchell
August 2014
The Importance of Performing a Risk Assessment
Updated: February 14, 2023
by
Core Compliance
July 2014
Soft Dollars and Disclosure
Updated: February 14, 2023
by
Core Compliance
June 2014
Cybersecurity – Important Considerations for IAs and BDs
Updated: February 14, 2023
by
Tina Mitchell
May 2014
Social Media Guidance for Broker-Dealers
Updated: February 14, 2023
by
Core Compliance
April 2014
