A focus on the retail investor and cyber-related misconduct resulted in a record total of $4.3 billion in disgorgements and penalties ordered by the Securities Exchange Commission in 2019. Among the Commission’s 862 enforcement actions were a $100 million fine … Read More
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC’s examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
What is “Outsourcing”? Outsourcing can be defined as the act of contracting certain work or services out to a third party, typically as a replacement for conducting that service internally. In today’s market, many organizations choose to outsource specific, everyday … Read More
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
On October 16, 2019, The Securities and Exchange Commission filed an emergency action and obtained an asset freeze against 18 traders in a multiyear scheme to manipulate more than 3,900 U.S.-listed securities that resulted in more than $31 million in … Read More
Compliance officers at investment advisory firms which serve retail clients will soon be impacted by the newly required relationship summary in Form ADV Part 3 (Form CRS).
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … Read More
On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts.
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP