Episode 13: Take-Aways from the OCIE Risk Alert on Advisory Fee Expense Issues
Michelle Jacko discusses key takeaways from the OCIE’s recent Risk Alert on Advisory Fee Expense Issues.
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
IAA Compliance Conference 2018: Effective Strategies and Best Practices
Speaker: Michelle Jacko
How SEC Issued Investor Bulletins Can Help Your Firm
For almost a decade, the Securities and Exchange Commission (“SEC”) has been issuing write-ups focused on providing investors with timely information on investment frauds and scams (“Investor Alerts”), along with education on various investment topics (“Investor Bulletins”) (both types referred … 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
What Investment Advisers Need to Know About the SEC’s New Risk Alert
Last week, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections & Examinations issued a new Risk Alert titled, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers” which was generated as a result … Read More
Blog | Broker-Dealers | Conflicts of Interest Rule | Investment Adviser | Securities and Exchange Commission (SEC)
SEC Seeks Public Comment on Standards of Conduct for Investment Advisers and Broker-Dealers
In a recent public statement, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton announced that the SEC is moving forward with its review of the standards of conduct mandates for investment advisers and broker-dealers and he welcomes the Department of … Read More
“SEC Expectations for Managing Retirement Accounts” Webinar Q&A
In April, the team at Core Compliance hosted an informative webinar, “SEC Expectations for Managing Retirement Accounts.” During the presentation, he discussed important considerations for the now delayed DOL Conflicts of Interest Rule, how the SEC’s ReTIRE Initiative impacts a … Read More
Schwab Advisory Board Conference
Core Compliance will be presenting on “The Evolution of Cybersecurity” at the Schwab Advisory Board Conference in Denver, CO, on Tuesday, February 28th.