Core Compliance

Core Compliance & Legal Services, Inc. ("Core Compliance") Providing the latest #compliance & #riskmanagement advice for the #financial industry

[Core Compliance @CoreCLS]

The SEC released a Draft Strategic Plan for public comment, focusing on investor protection, market integrity, and capital formation.

Public Comments due July 2, 2026.

Learn more: https://t.co/cuHrD7AuGO

#SEC #Compliance #InvestmentAdvisers #FinTech

[Core Compliance @CoreCLS]

SEC & NFA announce new agreement to strengthen regulatory coordination, information sharing & oversight collaboration.

Focuses on: emerging risks, exam planning, & reducing duplicative oversight efforts.

Learn more: https://t.co/Wg4XwF8TkU

#SEC #NFA #Compliance #RIA

[Core Compliance @CoreCLS]

State vs. SEC registration isn’t always a straight path.

Rashaunia Fuller’s latest article covers:
• Common transition mistakes
• Multiple paths to SEC registration
• Compliance considerations as firms grow

Read more: https://t.co/Jh3bDfhKFX

#RIA #Compliance #SEC

[Core Compliance @CoreCLS]

Please join us in welcoming Kevin Leahy to Core Compliance!

We’re excited to have him on board and look forward to the value he will bring to our clients and team.

Learn more: https://t.co/KAvPr0TVYo

#RIACompliance #RegulatoryCompliance #FinancialServices #TeamAnnouncement

[Core Compliance @CoreCLS]

SEC charges 21 individuals in alleged insider trading scheme involving misappropriated MNPI from global law firms and corporate deals. The case is a strong reminder for firms to review insider trading controls.

Learn more: https://t.co/3kwxDyk4sb
#SEC #Compliance #InsiderTrading

[Core Compliance @CoreCLS]

Reg S-P deadline is coming: June 3, 2026

Firms should be focused on:
• Safeguarding client data
• Breach notification procedures
• Secure disposal of information

Now is the time for a gap analysis + policy updates. Don’t wait.
https://t.co/8ZhyesqWOI
#Compliance #RegSP

[Core Compliance @CoreCLS]

SEC & CFTC propose Form PF amendments to reduce reporting burdens for private fund advisers.

Proposed changes:
• Threshold raised to $1B AUM
• Streamlined reporting

Participate in the public comment period.
Learn more: https://t.co/53bsB8cpzd
#SEC #CFTC #compliance

[Core Compliance @CoreCLS]

The June 3, 2026 deadline for amended Regulation S-P is approaching.

Focus areas:
• Safeguarding client data
• Breach notification procedures
• Proper data disposal

Now is the time to update policies, close gaps, and train staff.
Learn more: https://t.co/7SyaNSP6do

[Core Compliance @CoreCLS]

ADV season is wrapping up—have your compliance policies kept pace?

🚨 2026 focus: Regulation S-P
Smaller advisers should be preparing now.

Also revisit policies surrounding:
AI use • Cybersecurity • Conflicts

#RIACompliance #RegSP
Learn more: https://t.co/ul6vPAfXPl

[Core Compliance @CoreCLS]

Vendor relationships play a key role in compliance, cybersecurity & operations.

Our 2026 Service Provider Spotlight highlights providers + an overview of what firms should consider for due diligence & ongoing oversight.

🔗 https://t.co/aV3IbHPjX4
#DueDiligence #Compliance

[Core Compliance @CoreCLS]

The SEC just issued major crypto guidance 👇

• New token taxonomy
• Many crypto assets ≠ securities
• Clarity on investment contracts
• Coordinated with CFTC

A big step toward clearer rules for the industry

Learn more: https://t.co/OXLZvX7olh
#crypto #SEC #compliance

[Core Compliance @CoreCLS]

See CEO Michelle L. Jacko tomorrow at the 2026 IAA Investment Adviser Compliance Conference (Mar 18–20, D.C.), speaking on managing risk and conflicts of interest.

Learn more: https://t.co/558Iswxt4W
#event #compliance #investmentadviser

[Core Compliance @CoreCLS]

Advisors are increasingly turning to vendors & tech to manage aspects of compliance, operations & cybersecurity.

Our latest Service Provider Spotlight – Tools Supporting Advisors in 2026, highlights key providers + vendor due diligence best practices.
🔗https://t.co/tazX2bK2Df

[Core Compliance @CoreCLS]

The SEC and CFTC announced a Memorandum of Understanding to strengthen regulatory coordination.

The new Joint Harmonization Initiative will focus on aligning rules & reducing duplicative regulation, among other things.

Learn more: https://t.co/pDp3hnvTaE
#SEC #CFTC #Regulation

[Core Compliance @CoreCLS]

The SEC adopted final rules implementing the Holding Foreign Insiders Accountable Act (HFIA).

Beginning March 18, 2026, directors & officers of foreign private issuers must file Section 16 reports electronically & in English.

Learn more: https://t.co/ILSSBA0Ddp
#SEC #Compliance

[Core Compliance @CoreCLS]

The SEC updated its Enforcement Manual, the first major revision since 2017.

Highlights:
• 4-week Wells timeline
• Settlement + waiver considered together
• Updated cooperation guidance

Learn more: https://t.co/FZ27A4aV7G

#SEC #RIA #Compliance

[Core Compliance @CoreCLS]

⏰ RIA Reminder: Annual Form ADV amendments are due within 90 days of fiscal year-end.

For Dec. 31 firms → Deadline: March 31.

Accuracy matters. Make sure your ADV reflects your actual practices.

Reach out for assistance: https://t.co/cjHrQ7kgHc

#RIA #Compliance #FormADV

[Core Compliance @CoreCLS]

The SEC expects more than just a Business Continuity Plan — it must be tailored, tested, and documented.

If it’s not documented, it didn’t happen.

A practical BCP strengthens exam readiness.

Read more: https://t.co/WnhRxe1e95

#RIACompliance #SECExams

[Core Compliance @CoreCLS]

See CEO Michelle L. Jacko at the 2026 IAA Investment Adviser Compliance Conference (Mar 18–20, D.C.), speaking on managing risk and conflicts of interest.

Learn more: https://t.co/wThLQqJ2SG

[Core Compliance @CoreCLS]

SEC enforcement reminder: Improper intercompany adjustments + inflated segment performance = accounting & disclosure fraud risk
Even with cooperation credit, penalties were significant and a Fair Fund was created for investors
Learn more: https://t.co/z0iSM8vAT7
#SEC #compliance