Core Compliance

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

[Core Compliance @CoreCLS]

Is your compliance program ready for 2027?

Our 2026 Year-End Compliance Checklist covers key areas for IAs, from fiduciary duties and marketing to cybersecurity, AI, regulatory filings, and exam readiness.

Read the checklist: https://t.co/cQ7QGrIdZr

#RIA #Compliance

[Core Compliance @CoreCLS]

📢 The SEC has proposed updates to Rule 17a-7 that would expand cross-trading eligibility for registered funds, including most fixed-income securities.

🔗 Read the full SEC announcement: https://t.co/kwHNms7Kz5
#SEC #Compliance #RegulatoryUpdates #InvestmentManagement

[Core Compliance @CoreCLS]

The SEC’s Division of Examinations has released a new SEC Exam Handbook.

The handbook provides a roadmap of the examination process with practical tips to help registrants prepare.

Read the new handbook here: https://t.co/uO8KyoPitx

#SEC #SECExaminations #RIA #Compliance

[Core Compliance @CoreCLS]

📋 SEC Risk Alert: Annual compliance reviews are more than a checklist.
Recent SEC examination observations highlight issues re. • Timeliness • Review procedures & scope • Alignment w/ actual practices • Documentation • Corrective actions
Learn more: https://t.co/L8U3HgFeJJ

[Core Compliance @CoreCLS]

Retirement rollovers remain a key SEC & DOL examination focus.
Our latest article explores PTE 2020-02, SEC expectations, and best practices for documenting rollover recommendations.

The takeaway? Client-specific analysis + strong documentation matter. https://t.co/AJnz5QURHT

[Core Compliance @CoreCLS]

🚨 SEC proposes rescinding the investment adviser “pay-to-play” rule, Advisers Act Rule 206(4)-5.

Other Advisers Act obligations would remain in place.

Learn more: https://t.co/Uh3LdqRvvC

#SEC #RIA #Compliance #PayToPlay

[Core Compliance @CoreCLS]

Suitability is more than an onboarding exercise—it’s an ongoing fiduciary obligation.
Our latest Risk Management Update explores two foundational pillars of a defensible suitability process.
Read Part 1: #RIA #Compliance #Suitability #FiduciaryDuty
https://t.co/1vbNtKc5Fm

[Core Compliance @CoreCLS]

We're excited to welcome Haley Hammond to Core Compliance!
With 20+ years of experience as a CCO and compliance leader, Haley brings deep expertise in SEC examinations, compliance programs, regulatory filings and much more!
Welcome, Haley!
https://t.co/1LMCsdlSx3
#Compliance #SEC

[Core Compliance @CoreCLS]

The SEC has proposed Regulation E-Delivery, which would make electronic delivery the default for many required investor disclosures while preserving the option to receive paper copies.

Learn more: https://t.co/SFzNgMVu6R
#SEC #Compliance #RIA #InvestmentAdvisers

[Core Compliance @CoreCLS]

Happy 4th of July! Celebrating freedom, unity, and resilience. Have a safe and joyful day with family, friends, and fireworks! #IndependenceDay #FourthOfJuly #Celebrate

Happy July 4th!

[Core Compliance @CoreCLS]

The SEC is seeking public comment on novel #ETFs investing in innovative asset classes or using new investment strategies. As ETF assets grow, the Commission is evaluating how to support innovation while protecting investors.
Learn more: https://t.co/S2BKB5nph1
#SEC #Compliance

[Core Compliance @CoreCLS]

Growth starts with good data.
For RIAs, data integrity is the foundation of accurate reporting, efficient operations, and strong compliance. Learn how understanding your firm's data flow can reduce risk.
Read more: https://t.co/dN8xUTbIDX
#RIA #Compliance #DataIntegrity

[Core Compliance @CoreCLS]

The SEC has adopted joint data standards under the Financial Data Transparency Act of 2022, establishing common identifiers and machine-readable reporting standards across federal financial regulators.

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

#SEC #Compliance #FinancialServices

[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