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.
CCO Buzz Podcast | Disclosures | Form ADV | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 34: The Government Shutdown’s Impact on SEC Examinations
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
Implementing Technology as Part of a Compliance Program
The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators … Read More
Episode 33: Risk Alert – Electronic Communications
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
Trouble With Tokens Continues: ICO Issuers Settle SEC Registration Charges
Despite the Securities and Exchange Commission (SEC) toughening its regulation of virtual currencies and initial coin offerings, enforcement actions continue to be filed with increasing frequency.
SEC Publishes Risk-Based Examination Priorities for Registered Investment Companies
In an early November announcement, the Securities Exchange Commission (SEC) has publicized new exam initiatives that were announced in a recent risk alert by the Office of Compliance Inspections and Examinations (OCIE) concerning mutual funds and exchange-traded funds.
Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)
On this episode of the CCO Buzz we discuss the on the newly released 2019 SEC Exam Priorities and consideration for CCO’s in 2019.
A Need for Internal Transparency: JPMorgan Sued for Spoofing Precious Metals
Investors have sued JPMorgan Chase & Co., and a group of precious metals traders employed there, in New York federal court, claiming they manipulated futures contracts through a rogue broker practice known as “spoofing.”
CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.