Episode 18: Cybersecurity Training and Mentorship
On this week’s episode of the CCO Buzz we discuss the hot topic of Cybersecurity and the value of Cybersecurity Training and Mentorship in today’s evolving industry.
Keeping Accurate Books? — SEC Charges BGC Financial for Failure to Preserve Critical Records
A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, gifts, and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.
Episode 17: California Consumer Privacy Act 2018
In June 2018, California Governor Jerry Brown signed the CA Consumer Privacy Act of 2018 into law. In this episode of the CCO Buzz, CEO Michelle Jacko explains the major provisions within the legislation and offers key considerations financial institutions … Read More
Compliance Alert: OCIE Issues Best Execution Risk Alert
Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.
Episode 16: Senior$afe Act (Part 2)
CEO Michelle Jacko picks up where she left off on our two-part series covering the Senior Safe Act. In this segment, she covers the integral definitions, training requirements and other essential know-how regarding the reporting process, under the Senior Safe … Read More
Episode 15: Senior$afe Act (Part 1)
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.
Staying Ahead of the Cybersecurity Curve
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
Whistleblower Rule Amendments Strengthen Incentives and Clarify Requirements
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
Fifth Circuit Issues Mandate Vacating DOL Fiduciary Rule — Your Firm Should Remain Vigilant as the SEC Steps In
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
Help Teach Your Clients How To Avoid Investment Scams
Clients Who Want To Chase the Latest Hot Investment Opportunity Can Be Exposed To Scams