Core Compliance @CoreCLS
Core Compliance & Legal Services, Inc. ("Core Compliance") Providing the latest #compliance & #riskmanagement advice for the #financial industry bit.ly/2fZey1e San Diego, CA, USA Joined May 2013-
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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: hubs.li/Q04kKdmd0 #SEC #Compliance #FinancialServices
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: hubs.li/Q04jRk4l0 #SEC #Compliance #InvestmentAdvisers #FinTech
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: hubs.li/Q04jbzlK0 #SEC #NFA #Compliance #RIA
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: hubs.li/Q04hT0GG0 #RIA #Compliance #SEC
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: hubs.ly/Q04hHGHz0 #RIACompliance #RegulatoryCompliance #FinancialServices #TeamAnnouncement
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: hubs.li/Q04gd4Rp0 #SEC #Compliance #InsiderTrading
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. hubs.li/Q04frhwb0 #Compliance #RegSP
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: hubs.li/Q04dK7330 #SEC #CFTC #compliance
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: hubs.li/Q04cL5xy0
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: hubs.li/Q04b9mQf0
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. 🔗 hubs.li/Q0492Ckd0 #DueDiligence #Compliance
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: hubs.ly/Q048t7LH0 #crypto #SEC #compliance
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: hubs.li/Q047ygxy0 #event #compliance #investmentadviser
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. 🔗hubs.li/Q0475R320
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: hubs.li/Q046yJyr0 #SEC #CFTC #Regulation
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: hubs.li/Q045LjYD0 #SEC #Compliance
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: hubs.li/Q044rs_m0 #SEC #RIA #Compliance
⏰ 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: hubs.ly/Q043PWwz0 #RIA #Compliance #FormADV
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: hubs.li/Q043qZR30 #RIACompliance #SECExams
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: hubs.li/Q042brgR0
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The HBS Group @TheHBSGroup
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Instituto Oficiales d... @IOCumplimiento_
71 Followers 139 Following IOC es una asociación sin ánimo de lucro que une a los oficiales de cumplimiento (Compliance Officers) de las principales multinacionales. #IOC #CICO
AcademicCompliance @AcademicCompli1
523 Followers 2K Following Academic Compliance is a dissemination platform on YouTube sharing knowledge, training and cases on #Risk-Based #Compliance and #AML by @kallerosedk
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Apparity @ApparityLLC
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The Risk Management A... @TheRiskAcademy
46 Followers 251 Following Accredited by CPD Group, London. Providing Risk Mgt. Education/Certifications that are internationally-recognized. Led by The Risk Master-Dr. Emmanuel M.Abolo
U.S. Securities and E... @SECGov
807K Followers 16 Following The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer: https://t.co/kQaurNTXAI
BCMS Alliance @BCMSAlliance
79 Followers 62 Following The Bexar County Medical Society Alliance fosters friendships among medical families & promotes education and wellness in Bexar County.
Compliance Week @complianceweek
27K Followers 658 Following We’ve moved! Follow Compliance Week on LinkedIn for trusted news, benchmarking, and community.
Charles Paikert @paikert
2K Followers 70 Following U.S. correspondent, Family Wealth Report; contributing reporter, Barron's Advisor. Content contributor, UHNW Institute, AdvisorEngine Learning Center
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307 Followers 101 Following Liberator, Advocate, Founder Independent Network of Consultants & Advisors. INC Advisors @LPL Securities offered through LPL Financial, Member SIPC https://t.co/EDtGg9PeiZ
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1K Followers 617 Following 8X founder, 5 exits, raised $100M. No more raising capital, just AI vibe coding https://t.co/utCHIjFvKU, https://t.co/WzHLK741nZ, https://t.co/0DQS5qR5yl and more
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TMLT @TMLT_TMIC
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DMmac PC @DMmacPC
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