Core Compliance & Legal Services, Inc.

Have you seen the Securities and Exchange Commission's updated guidance regarding Form CRS? "One of the general instructions to Form CRS does allow for the omission or modification of disclosures or conversation starters if they’re not applicable to a firm’s business...But it does not allow for the omission of whether a firm or any of its employees has any disciplinary history. Head to our new blog post to learn more! > https://hubs.ly/H0zjMJ00

Have you heard our latest episode of the CCO Buzz podcast? Tune in today to learn about vital considerations for conducting your next Annual Review from Sr. Compliance Consultant, Kurt Nuñez! Listen here: https://hubs.ly/H0zjvqz0

Area of Focus for Your Annual Review: Books and Records Head to our latest blog post to learn why "...it is just as important to review the destruction P&Ps for your books and records as it is to review their preservation." Read the full post here: https://hubs.ly/H0zjMKT0

Don't miss our latest Risk Management Update - Dually Registered Firms: Steps for Performing an Efficient Annual Review and Gap Analysis. "Once risks are identified, they should be rated from highest to lowest. The important objective is to identify the firm’s highest risks and prioritize those areas for testing before other areas." Read the full article to learn more! https://hubs.ly/H0zjbmY0

Area of Focus for Your Annual Review: Books and Records When reviewing your books and records during your annual review, it's important to look at the following items: - The controls in place to protect the integrity of the books and records ... - Who is responsible for maintenance of the books and records Head to our blog post to see other important items to review! https://hubs.ly/H0yYwSh0

The Department of Business Oversight recently changed its name to the Department of Financial Protection and Innovation, which means you should be reviewing your policies and procedures! "Advisers would be well-served to review all of their policy and procedure manuals, any disclosures on their website, marketing collateral, advisory agreements, and any other documents that reference the DBO by name..." Learn more in our new blog post: https://hubs.ly/H0yYwjr0

How to Provide Additional Information Regarding Disciplinary or Legal History on Form CRS "The Form CRS does not preclude firms or financial professionals from providing separate copies of additional regulatory disclosures..." Head to our latest blog post on the SEC's new FAQs regarding Form CRS to learn more! https://hubs.ly/H0yYwR60

Have you heard the latest CCO Buzz podcast episode on Vital Considerations for Conducting an Annual Review? Tune in today to hear steps for dually registered firms to complete their annual review requirement from Senior Compliance Consultant Kurt Nuñez! Listen here! > https://hubs.ly/H0yYwkC0

You won't want to miss our latest Risk Management Update - Dually Registered Firms: Steps for Performing an Efficient Annual Review and Gap Analysis. "Step One: Deciding Areas to Test First Effective Annual Review and Gap Analysis assessments need to be based on testing that is performed and reviewed throughout the year."... Head to our article to learn more! https://hubs.ly/H0yYwzN0

Have you considered reviewing your Books and Records as part of your Annual Review? "Your books and records are one of the most important aspects of your business and should be considered a foundational component of your annual review ..." Learn why in our new blog post! > https://hubs.ly/H0yYwyw0

Have you seen the SEC's new FAQs regarding legal and disciplinary history responses for Form CRS? "One of the general instructions to Form CRS does allow for the omission or modification of disclosures or conversation starters if they’re not applicable to a firm’s business..." Read our latest blog post to learn more! > https://hubs.ly/H0yTtjP0

This month's Risk Management Update is out! Head to the article to learn about steps for performing an efficient Annual Review and Gap Analysis from Senior Compliance Consultant Kurt Nuñez! "Once risks are identified, they should be rated from highest to lowest. The important objective is to identify the firm’s highest risks and prioritize those areas for testing before other areas."... Read the article here: https://hubs.ly/H0yTkXD0

Don't miss our latest episode of the CCO Buzz podcast! Tune in today to hear Sr. Compliance Consultant Kurt Nuñez discuss vital considerations for conducting an Annual Review! Listen here: https://hubs.ly/H0yTnZc0

Don't miss NSCP's upcoming webinar, "Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices," featuring Michelle Jacko! Register today to learn about: - SEC expectations for protecting seniors... - New senior investor scams seen during the COVID-19 period - Best practices for identifying and responding to senior exploitation And much more! https://hubs.ly/H0yTkYb0