In early June, the town of Oyster Bay New York settled 2017 charges issued by the Securities and Exchange Commission (SEC) that it committed fraud related to Municipal Bond Securities it sold investors while failing to disclose the nature and … Read More
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
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:
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.
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm.
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
Even powerful entities like the U.S. government’s Securities and Exchange Commission (SEC) and major news agencies are not impervious to cyberattacks, despite the significant resources they dedicate to defending the valuable information they are responsible for.
We feature Core Compliance’s Lead Senior Compliance Consultant Tina Mitchell – she’s here to help us think outside the box and really be prepared for the unexpected as we discuss some tips on how to prepare for a regulatory examination.
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More