@CoreCLS

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

 San Diego, CA, USA
bit.ly/2fZey1e
Joined May 2013
  • Tweets9.3K
  • Following3.2K
  • Followers2.8K
1.5KMedia
Core Compliance retweeted
Mark Schoeff Jr.@MarkSchoeff15 Mar 2018
.@SEC_News IM director Dalia Blass on #fiduciaryrule: 'It's the highest priority for our division. It's on a very, very short-term agenda.' #IAAComCon
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Core Compliance retweeted
Ryan Whitney@rwhitney13014 Mar 2018
Per the WSJ’s Risk Report: 65% of #compliance executives surveyed said they expect risk levels to remain stagnant. 28% expect an increase. Takeaway: risk is not decreasing
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Core Compliance retweeted
jpegpapi@Moixsecjpg23 Dec 2017
Data on 123 million US households exposed tinyurl.com/yanddat5 #appsec #infosec
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Core Compliance retweeted
Succession Resource Group@SuccessionRG18 Dec 2017
Final tax bill gives pain, relief to financial advisers. bit.ly/2yTH0c3 by @MarkSchoeff #advisors #TaxReform #cpa
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Core Compliance retweeted
Ernest E. Badway@ebadway19 Dec 2017
Takeaways From The SEC Investor Bulletin On Wrap Fee - eepurl.com/deSWyL
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Core Compliance retweeted
Ernest E. Badway@ebadway12 Dec 2017
What FINRA Found in its Examinations - eepurl.com/ddMYvP
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Core Compliance retweeted
Core Compliance@CoreCLS8 Dec 2017
Risk management primer for #business leaders: hubs.ly/H09mXBQ0
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Core Compliance retweeted
Joshua Horn@JoshuaHornesq11 Dec 2017
What FINRA Found in its Examinations - Securities Compliance Sentinel lnkd.in/eXBFFZU
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#TeamIT Follow @_igordata @AriGrande_SoCal @johnkoetsier @JEANLOUISFAGES @JonhSELIGA @JameHealy @fredlumiere @CoreCLS @crowdinvestnow @MafiaSDV @NQAlerts @abradi_nacional @NeivAllen @FXS_Finance_ES
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Core Compliance retweeted
Joshua Horn@JoshuaHornesq8 Dec 2017
Finra: Firms begin to heed cybersecurity, but have much to do lnkd.in/dguzRPi
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Core Compliance retweeted
Marie Swift@marieswift8 Dec 2017
Check out this great swath of video interviews from the Schwab IMPACT conference in November | via @eventsfromIN @AdvisorEngine Game Day Stage investmentnews.com/section/e…
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Core Compliance retweeted
Cindi@CindiHill7 Dec 2017
Cybersecurity challenges don't threaten only big businesses sbne.ws/r/yCH1
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Core Compliance retweeted
Brad Sherman
@shermanwealth4 Dec 2017
Law professor Tamar Frankel, 92, is still shaking up Wall Street as the intellectual godmother of the fiduciary rule wsj.com/articles/the-92-year… via @WSJ
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Core Compliance retweeted
Succession Resource Group@SuccessionRG1 Dec 2017
Broker Protocol has been a game changer. Any thoughts for the trend? financial-planning.com/news/… by @AndrewWelsch @newsfromIN #brokerprotocol #advisors #brokerdealer #sellers #buyers
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Final DOL #FiduciaryRule delay avail at bit.ly/2ABTNVV. Next step is to propose changes to #BICE & PTEs 16-02 & 84-24. Watch for proponents to file suit alleging extended delay = unlawful stay.
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Core Compliance retweeted
AdvisorEngine@AdvisorEngine30 Nov 2017
Financial Planning magazine’s @sulemandn writes about disruption & how it can be good for the financial services industry in this roundup piece, live from the T3 Enterprise Conference in Las Vegas earlier in Nov: financial-planning.com/news/…… #T32017 @AdvisorEngine @t3techhub
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Core Compliance retweeted
Cindi@CindiHill27 Nov 2017
DOL Fiduciary Rule Delay is Official hilladvisors.wordpress.com/2…
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Core Compliance retweeted
Richard Dragotta@INCAdvisors19 Nov 2017
Time to #squirrel away some investment profits so you will have some for the winter? Read what @LPLResearch thinks #LPLOutlook 2018:pnw-b.ctx.ly/r/5v23f #autumn #NJ
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Core Compliance retweeted
Succession Resource Group@SuccessionRG14 Nov 2017
Finra’s 2018 Budget Might Reveal Sweeping Changes. What could this mean to your bottom line? bit.ly/2mrknuA @FinAd_IQ #advisors #FINRA
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#Investors should always research the background of individuals and firms before investing with them. Here's why: jacko.legal/9km4
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