🔥The 9th Round of Easy Loan, Earn $40 Reward is in progress❗️ ⏰ Promotion Period: January 15th - Feburary 15th, 2025 👉 Register now and check more details at gate.io/campaigns/358

🚀 Compliance & business operations are evolving—are your vendors keeping up? Our 2025 Vendor Roundup highlights key tools & services for investment advisers, from compliance tech to cybersecurity & HR solutions. 🔗 Read more: hubs.li/Q03chyZ-0 #Compliance #FinTech #RegTech

🚨 New SEC Marketing Rule FAQ Updates! The SEC has released new guidance clarifying when investment advisers must include net performance alongside gross performance in advertisements. More details 👉 hubs.li/Q03cJd1v0 #SEC #MarketingRule #InvestmentAdvisers #Compliance

🚨 SEC Charges NJ Investment Adviser & Firm with Fraud 🚨 David Yow Shang Chiueh & Upright Financial Corp. ignored a 2021 SEC settlement & continued fraud, causing $1.6M in investor losses. Full details 🔗hubs.li/Q03djV3y0 #SEC #InvestmentFraud #Compliance

🚨 SEC Crypto Task Force Announces 4 More Roundtables! 🚨 📍 Attend in person (SEC HQ) or watch live at hubs.li/Q03dFBG40 More info 🔗hubs.li/Q03dFzqF0 #SEC #Crypto #Blockchain #DeFi #CryptoRegulation

Advisers: Is your compliance manual up to date? 📑✅ After filing Form ADV, review & update your Policies and Procedures Manual to align with changes in business ops & regulations. Reach out today for assistance! hubs.li/Q03fxZgK0 #SEC #Compliance #InvestmentAdvisers

The SEC’s Crypto Roundtable is set for today 📅 "Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading" 📍 D.C. | 🖥️ Webcast live 🎤 Speakers from Coinbase, Uniswap, NYSE & more Details: hubs.li/Q03g_wdW0 #SEC #Crypto #Regulation #CryptoNews

We’re Hiring! Core Compliance is looking for a Sr. Compliance Consultant with 10+ years of financial industry experience, someone passionate about compliance and leading projects in a high-energy, team-driven environment. Learn more and apply here: hubs.li/Q03hCD-30

Investment advisers: Best execution = fiduciary duty. 📈 Are you covering all the bases? ✅ Pre- & post-trade reviews ✅ Custodian vs broker-dealer considerations ✅ Documentation & disclosures Learn more: hubs.li/Q03hZJB00 #RIA #BestExecution #Compliance #SEC

🚨 The SEC awarded $6M to joint whistleblowers whose tip launched an exam & led to an enforcement action. Timely, credible info = big impact 💼💰 Details 👉 hubs.li/Q03jb1Tk0 #SEC #Whistleblower #Compliance #Enforcement #Regulation

🚨 Paul S. Atkins sworn in as the 34th Chairman of the SEC. A former Commissioner (2002–2008), Atkins brings private + public sector experience & a focus on investor protections. Learn more: hubs.ly/Q03jHXxB0 #SEC #PaulAtkins #Regulation #InvestorProtection

🚨 We're hiring a Sr. Compliance Consultant! ✅ 10+ yrs in financial services ✅ Lead RIA compliance engagements 📍 San Diego preferred 💼 Great benefits + bonuses Join our mission-driven team! 🔗 Apply here: hubs.li/Q03kg88P0 #ComplianceJobs #Hiring #FinanceCareers

🚨 New from the SEC: DERA releases market data & analysis on public issuers, exempt offerings, CMBS, ABS, MMFs & SBSDs. Transparency → smarter investing. Details: hubs.li/Q03kFbwz0 #SEC #DERA #CapitalMarkets #InvestmentData #CMBS #ABS #RIA

🚨 SEC charges 3 in $91M Ponzi scheme—over 200 investors misled by fake guarantees, false “risk protection,” & luxury fund misuse. High returns = high risk. Be alert. 🔗 Learn more here: hubs.li/Q03lJDfx0 #SEC #PonziScheme #InvestorAlert #Compliance

The SEC is zeroing in on high-risk areas—cybersecurity, PTE 2020-02, marketing & more. Now’s the time for a mid-year risk assessment. Core can help you stay ahead with tailored compliance support. Learn more: hubs.li/Q03md8gm0 #SEC #RiskAssessment #Compliance #Advisers

📢 The SEC will host a roundtable on Executive Compensation Disclosure on June 26, 2025. ✅ Open to the public 📺 Live-streamed 🗣️ Public comments encouraged More info ➡️ hubs.li/Q03mZwCv0 #SEC #ExecutiveCompensation #Compliance #SECUpdates

Thinking of launching your own RIA? Our latest article covers key steps: ✅ Form ADV & U4 ✅ SEC vs. state registration ✅ Licensing & CE 🧠 Be prepared, not overwhelmed. Read more → hubs.li/Q03nlDDl0 #RIA #Compliance #InvestmentAdviser #FinancialAdviser

🚨 SEC charges Unicoin & execs in $100M fraud case: ❌ Falsely claimed token backing by Billions in assets ❌ Misrepresented sales ❌ Misled 5K+ investors Another major crypto enforcement action. Details: hubs.li/Q03nM3wn0 #SEC #CryptoFraud #Compliance #DueDiligence

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

🚨 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

🚨 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