Core Compliance

The SEC has announced its FY 2027 Examination Priorities. Key areas include fiduciary duties, private funds, cybersecurity, emerging technologies, and broker-dealer supervision. Is your compliance program ready? Read the priorities: hubs.li/Q04C8j_Y0 #SEC #Compliance

📢 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: hubs.li/Q04B49SJ0 #SEC #Compliance #RegulatoryUpdates #InvestmentManagement

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: hubs.li/Q04zm2VV0 #SEC #SECExaminations #RIA #Compliance

📋 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: hubs.li/Q04xBMpp0

🚨 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: hubs.li/Q04wFHyR0 #SEC #RIA #Compliance #PayToPlay

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 hubs.li/Q04t2Xrr0

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! hubs.li/Q04pQmvs0 #Compliance #SEC

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: hubs.li/Q04pQlY50 #SEC #Compliance #RIA #InvestmentAdvisers

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!

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: hubs.li/Q04n737t0 #SEC #Compliance