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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Annual Reviews are more than a rule—they’re a chance to strengthen compliance. Learn how RIAs can use risk-based testing, documentation & SEC guidance to elevate the process. Head here for our full guide 👉 hubs.li/Q03GXLDM0 #RIA #Compliance #SEC
Strong compliance means more than policies—it requires ongoing testing + surveillance. 🚨 Tina Mitchell breaks down the key tests investment advisers should implement to detect and prevent violations. Read here 👉 hubs.li/Q03G680n0 #Compliance #InvestmentAdvisers #SEC
🚨 SEC charges tied to $275M Ponzi-like scheme. ▪️ 250+ investors defrauded, incl. veterans ▪️ $60M+ misused for Ponzi payments & ventures ▪️ Portfolio mgr accused of conflicts & ignoring red flags Details: 🔗 hubs.li/Q03DB-CC0 #SEC #Fraud #Compliance #FiduciaryDuty
🚨 SEC releases FAQs to guide broker-dealers on new U.S. Treasury clearing rules. 📅 Deadlines: Dec. 31, 2026 (cash) & June 30, 2027 (repo) Commissioner Mark T. Uyeda to lead implementation efforts. Details ➡️hubs.li/Q03CQ3x20 #Finance #SEC #USTreasury #Clearing
Your Compliance Program should evolve with your firm—not sit on a shelf. CEO Michelle Jacko outlines how to strengthen policies, boost oversight & use tech for better risk management. 🔗 hubs.li/Q03BkJXR0 #SEC #Compliance #RiskManagement #InvestmentAdvisers
🚨 SEC approves in-kind creations & redemptions for crypto ETPs – aligning them with similar commodity-based products. More approvals also advance a merit-neutral framework for crypto products. 🔗 Learn More: hubs.li/Q03zQ57M0 #Crypto #SEC #ETPs
Compliance isn’t static—it must grow with your firm. Michelle Jacko shares how to strengthen your program with tailored policies, strong oversight & smart tech tools. 🔗 hubs.li/Q03zjsnG0 #Compliance #InvestmentAdvisers #RiskManagement #CCO
AI is transforming onboarding, portfolio mgmt & deal workflows—but with real compliance risks. Join Jacko Law Group’s Kathy Konzen + experts to learn how firms can adopt AI securely while boosting efficiency. 🔗 Save your seat now. hubs.li/Q03yMQjn0 #AIinFinance #Compliance
🚨 FinCEN intends to delay the AML rule for investment advisers from Jan 1, 2026 → Jan 1, 2028. The delay isn’t official yet, but exemptive relief + future rulemaking are expected. Stay tuned. #AML #FinCEN #RIA #Compliance Learn more: hubs.ly/Q03yc_j10
🚨 SEC charges filed in a $140M Ponzi scheme tied to promises of 18% returns & misused investor funds. 🔎 Reminder: Too-good-to-be-true returns = red flag. Protect your clients—educate & investigate. Learn more: hubs.ly/Q03xMPV_0 #SEC #InvestmentFraud #DueDiligence
📢 Advisers: Are you up to date on your Section 13 filings? ✅ Form 13F ✅ Form N-PX ✅ Schedule 13D/13G ✅ Form 13H We can help. 📨 Contact us to learn more: hubs.li/Q03wHwct0 #RIA #SECCompliance #Form13F #FormNPX #CoreCompliance
Wishing you a safe and joyful Fourth of July! 🇺🇸 Today we celebrate the freedoms that empower innovation, growth—and the pursuit of compliance excellence. Happy Independence Day from all of us! ✨ #FourthOfJuly #IndependenceDay #RIACommunity
RIAs: Outsourcing? Ask smart questions. Our new article explores how to evaluate vendors—data access, integrations, and more—to help your firm make sound, secure decisions. 📘 Read here: hubs.li/Q03vrp_M0 #VendorOversight #RIA #DataSecurity #Fintech #AdviserInsights
🚨 SEC extends compliance date for daily reserve computations under Rule 15c3-3 to June 30, 2026. Extra time for broker-dealers to test systems + ensure compliance. Originally set for Dec. 2025. 🔗 Learn more: hubs.li/Q03tPvLv0 #SEC #brokerdealers #compliance
RIAs: The SEC is zeroing in on third-party vendor oversight. Do you know the red flags to watch for? 🚩 Our new article covers due diligence must-haves—SOC 2 reports, data ownership, vendor stability & more. 🔗 Read now: hubs.li/Q03tmjk00 #RIA #Compliance #SEC #VendorRisk
🚨 New AML Rule = Big Changes for RIAs & ERAs. FinCEN's AML rule takes effect Jan 1, 2026. Core Compliance now offers full AML services—from policies to training. Get started early. Be audit-ready. 👉 hubs.li/Q03sM5l40 #AML #RIA #Compliance #FinCEN #InvestmentAdviser
🚨 The SEC & CFTC have extended the Form PF compliance date to Oct. 1, 2025. Advisers to private funds, including CPOs/CTAs, should take note and prepare accordingly. 🔗Learn More: hubs.li/Q03s4gzK0 #FormPF #SEC #CFTC #ComplianceUpdate #PrivateFunds
🚨 New team member alert! Please join us in welcoming Joshua Jones as our new Sr. Compliance Consultant! With 10+ years in compliance and risk management, Josh is already making waves. Welcome aboard! 👏 Learn more: hubs.li/Q03rzjXM0 #Compliance #Team #RiskManagement
🚨 SEC seeks public input on the foreign private issuer definition. Time to weigh in on how this status should evolve with today’s global markets. 📝 🗓️ 90-day comment window. 🔗 Details: hubs.li/Q03r5DR20 #SEC #ForeignPrivateIssuer #Compliance #SECuritiesLaw
Starting an RIA? Start strong. 💼 Make sure you: 🧩 Register properly (SEC or state?) 📋 File Form ADV & U4 💰 Manage startup costs 📘 Build solid compliance policies Get the full guide from Core Compliance → hubs.li/Q03qr8Rr0 #RIA #Compliance #InvestmentAdviser
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