Episode 74: Supervision Considerations under the COVID – 19 Pandemic
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
SEC Charges Private Equity Firm with Compliance Failures
On May 26, 2020, the Securities and Exchange Commission (“SEC”) announced that Los Angeles-based private equity firm and registered investment adviser, Ares Management LLC (“Ares” or the “Firm”) agreed to a cease-and-desist order, censure, and to pay a $1 million … Read More
NSCP Currents – Considerations for 2020 and Focus on SEC Exam Priorities
CEO Michelle Jacko’s article, “Considerations for 2020 and Focus on SEC Exam Priorities,” was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article provides an overview of the Securities and Exchange Commission’s 2020 Examination … Read More
Episode 73: Cybersecurity for Working from Home During COVID-19
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
NSCP Webinar: Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |
FINRA Updates Web CRD and IARD Security with Multi-Factor Authentication
The Financial Industry Regulatory Authority (“FINRA”) has upgraded the Web Investment Adviser Registration Depository (“IARD”) and Central Registration Depository (“CRD”) to include multi-factor authentication (“MFA”) in an effort to make the websites more secure:
Cybersecurity Considerations for Working from Home during COVID-19
The COVID-19 pandemic has upended our personal and professional lives and many businesses are adjusting to this new environment in which working from home could be the new normal for an extended period of time. Since many firms have shifted … Read More
Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
CEO Michelle Jacko Quoted on CNBC
CEO Michelle Jacko was featured in a CNBC article, “So Your Financial Advisor Took a PPP Loan. Here’s What That Means For You,” on May 14, 2020. In the article, Michelle discusses the circumstances surrounding disclosures of the Paycheck … Read More
FINRA and Prometric Provide Updates on Online Testing and Test Center Solutions
The Financial Industry Regulatory Authority (“FINRA”) and Prometric Testing Centers have announced additional accommodations and updates for individuals seeking to take exams for the Securities Industry Essentials (“SIE”) and Series 6, 7, 65, 66, and 63 Exams, and fulfillment of … Read More