CEO Michelle Jacko picks up where she left off on our two-part series covering the Senior Safe Act. In this segment, she covers the integral definitions, training requirements and other essential know-how regarding the reporting process, under the Senior Safe … Read More
In this week’s episode, we have Core Compliance’s CEO Michelle Jacko diving into the complexities of the Senior Safe Act and proper protocols, to best prepare for an SEC examination.
Cybersecurity and cyberattacks continue to dominate the news and the regulatory landscape in 2018. It is projected that they will continue to remain prominent issues for financial institutions for the foreseeable future.[1] To anticipate future cyberattacks is a near impossibility; … Read More
The SEC (Securities and Exchange Commission) Whistleblower Program, created in the wake of the 2008 financial crisis as part of the Dodd-Frank Act, has been nothing short of success (at least, from the standpoint of regulators and whistleblowers). Since its … Read More
Even though the Department of Labor’s (“DOL”) Fiduciary Rule (which was designed to expand the definition of what constituted fiduciary advice as part of the Employee Retirement Income Security Act of 1974 (ERISA)) has been vacated by the 5th U.S. … Read More
Clients Who Want To Chase the Latest Hot Investment Opportunity Can Be Exposed To Scams
Though the rule that requires firms to have a Code of Ethics (“Code”) is over a decade old, compliance professionals regularly deal with issues within their firms arising from the Code, and it’s not uncommon for firms to create a … Read More
The issue of Robo-advisers (and the potential regulatory consequences of an adviser that relies heavily on automation to achieve what was traditionally achieved through human interaction) is nothing new. In fact, electronic investment advice has been a continuous SEC top … Read More
We live in a world filled with bad actors who consistently attempt to take advantage of flaws and weaknesses in our financial systems, often to the detriment of the law-abiding majority. When these efforts reach a grand scale in the form … Read More
Though once thought no more than a digital curiosity, a passing Millennial trend, or something only used by criminals in illicit, internet-based black markets, so-called virtual currency (which includes cryptocurrency, like the well-known Bitcoin), has become a staple of the … Read More