Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Disclosure Improvements Proposed by SEC for Variable Annuities and Variable Life Insurance Contracts
In an Oct. 30, 2018, press release, the Securities and Exchange Commission (SEC) has announced that a proposal for updated disclosure agreements involving the complicated arena of variable annuities and variable life insurance contracts has been approved for public comment. … Read More
Episode 28: Conflicts of Interest (Part 2)
On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
FTC Develops Cybersecurity Education Program
Cyberattacks pose a very real threat to all modern businesses, from massive corporate conglomerates to smaller local establishments, causing ever greater financial losses and increased headaches each year for all who are affected. As a result, more and more business … Read More
Fraudulent Claims of SEC Approval in Marketing Cryptocurrency Trading
As the awareness and popularity of cryptocurrencies increase, so do the instances of fraud and dishonest behavior associated with their trade, which is evidenced by the recent Securities and Exchange Commission (SEC) Investor Alert on the subject. In this alert, … Read More
Episode 27: Conflicts of Interest (Part 1)
On this week’s episode we have Core Compliance’s CEO Michelle Jacko. Michelle is here to speak on conflicts of interest. Our conversation was a little bit of a dive deep into some key issues, so we had to make it … Read More
Staying Ahead of the Cybersecurity Curve: Part II
In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure … Read More
Episode 26: Identity Theft Red Flags
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
SEC Charges Two Brokers with Defrauding Customers
In separate complaints, the Securities and Exchange Commission has charged two brokers, Emil Botvinnik of Florida and Jovannie Aquino of New York, with recommending excessive levels of short-term trades that appear to have generated lucrative commissions for the brokers, but … Read More
Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges
Fraudulent messaging that affects retail investment decisions come in many forms, but the applicable regulatory statutes apply across all circumstances. That includes the use of social media. On August 7, 2018, Elon Musk made the decision to publicly announce on … Read More