Episode 39: Verifying Personal Disclosures
On this week’s episode we discuss the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.
IAA Investment Adviser Compliance Conference 2019
March 14, 2019 | Speaker: Michelle Jacko, CSCP
2019 IA Compliance: The Full 360 View East
March 7, 2019 | Speaker: Michelle Jacko, CSCP
What Disclosures Should be Considered for Your Form ADV Amendments
Now that we are in the first quarter of the new year, most registered investment advisers (“RIA” or “Firm”) are busy preparing their annual Form ADV amendment. This annual amendment is due within 90 days of the end of the … Read More
Updating Your Cybersecurity Policy: NFA Releases Interpretive Notice 9070
Our ever-increasing reliance on electronic devices and information technology to do business, combined with the constantly evolving methods used to electronically attack our firms and our clients, has elevated information security (cybersecurity) into a position of great importance.
Episode 37: FINRA 2019 Exam Priorities
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.
OCIE 2019 Examination Priorities Released
In a December 2018 press release, the SEC (Securities and Exchange Commission) announced the publication of the OCIE (Office of Compliance Inspections and Examinations) examination priorities for 2019.
FINRA Releases Report on Effective Industry Cybersecurity Practices
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
Episode 36: Q1 – Form ADV Amendments and Disclosing Conflicts of Interest
On episode 36 of the CCO Buzz we cover some frequently asked questions, or FAQs, that the team has seen, and heard, as we are currently assisting clients with their first quarter, (“Q1”) along with their annual updates.
Episode 35: Takeaways From the 2019 Core Compliance Workshop
On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop.