News

DOL Fiduciary Rule Takes Another Hit, Still in Flux

On Thursday, March 15, 2018, the 5th U.S. Circuit Court of Appeals vacated the DOL’s “Fiduciary Rule”, holding that the DOL exceeded its statutory authority under the Employee Retirement Income Security Act (“ERISA”). The original lawsuit was brought against the DOL by several industry groups that opposed the Rule. The...

Read More

SEC Announces 2018 Exam Priorities

On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced their 2018 examination priorities.  Highlighted focus areas include automated advice platforms, duties to retail investors, cybersecurity, and developments in cryptocurrency and initial coin offerings. The SEC will continue its risk-based strategy focusing on...

Read More

NCS Regulatory Compliance Hires Chief Marketing Officer

LONDONDERRY, NH – NCS Regulatory Compliance is pleased to announce that Caroline Kirkfield-Chick has joined the firm as Chief Marketing Officer, effective December 19, 2016. Caroline served most recently as Vice President of Sales and Marketing for Silverstone Living. In this role, she successfully oversaw a comprehensive rebranding initiative, including...

Read More

NCS Regulatory Compliance Announces Launch of New Brand and Website

LONDONDERRY, NH – NCS Regulatory Compliance is pleased to announce the successful launch of their new website www.ncsregcomp.com, which features fully mobile-responsive technology, comprehensive integration of features including client login portals, and access to extensive compliance resources for investment advisers and broker-dealers. The website also debuts the firm’s new logo,...

Read More

National Compliance Services and Regulatory Compliance join forces to form full-service compliance consulting powerhouse

New York – Oct. 27, 2015 – National Compliance Services Inc. (NCS) and Regulatory Compliance LLC, two of the nation’s longest-serving regulatory compliance consulting leaders, announced today they have signed a definitive agreement to merge.  This strategic combination creates a single source of compliance consulting services and solutions for registered...

Read More

Chief Compliance Officers Face Aggressive Enforcement Actions

Fiscal year 2014, which ended in September, was a busy one for the SEC. The SEC filed a record 755 enforcement actions and obtained orders totaling over $4 billion in disgorgement and penalties. By way of comparison, the SEC filed 686 enforcement actions during fiscal year 2013 and obtained orders totaling $3.4 billion in disgorgement and penalties.

Read More