On July 2, 2020, the North American Securities Administrators Association (“NASAA”) released a notice for public comment on its proposed model rule for investment adviser written policies and procedures (“the Model Rule”) under the Uniform Securities Acts of 1956 and … Read More
CEO Michelle Jacko was featured in a CNBC article, “So Your Financial Advisor Took a PPP Loan. Here’s What That Means For You,” on May 14, 2020. In the article, Michelle discusses the circumstances surrounding disclosures of the Paycheck … Read More
The Securities and Exchange Commission (“SEC”) recently awarded two whistleblowers with monetary awards for providing significant information that helped the SEC stop fraudulent schemes. The first individual earned an award of $277,000 for bringing forward information that unveiled a scheme … Read More
UPDATE (03.12.2020): Since the publishing of this blog post the Coronavirus (COVID-19) has infected more than 130,267 confirmed unique cases and has killed over 4,700 of those affected across 125 countries. The recent outbreak of the Coronavirus (COVID-19) has spread to … Read More
Every now and then, the Securities and Exchange Commission (SEC) encounters a case that serves as a textbook example of everything that can go awry when a firm deems fraud more important than fiduciary responsibility. On December 19, 2019, … Read More
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Core Compliance’s President was featured on the Enterprise Podcast Network on September 16, 2019. During his episode, “Consumers Need to Do Their Due Diligence When Selecting a Trusted Advisor,” he discusses what a consumer should do when looking for an … Read More
On August 12, 2019, the Securities and Exchange Commission (SEC) announced it had filed civil proceedings against Bill Tsai, a junior analyst at RBC Capital Markets, for alleged insider trading.
The Certified Financial Planners (CFP) Board of Standards, Inc. released its revised Code of Ethics and Standards of Conduct last year. The most significant change under the new standards is that now all CFP professionals, including broker dealers, must adhere … Read More
KPMG agreed to pay a $50 million penalty and review its ethics and integrity controls as a settlement with the Securities and Exchange Commission (SEC) for charges that the firm altered past audit work papers after illegally obtaining information from … Read More