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.
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.
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.”
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
In this CCO Buzz we examine “constructive” custody and custody trapsand discuss steps firms are required to take when deemed to have custody.
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
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
On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
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
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