On episode 100 of the CCO Buzz, Sr. Compliance Consultant Janice Powell discusses supervisory processes in a pandemic and post-pandemic environment, including newly proposed supervisory regulations.
Senior Compliance Consultant Janice Powell’s article, “Converting Critical Enterprise Risks into a Usable Risk Matrix,” was published in the Journal of Financial Compliance, Volume 5 Number 4. In the featured text, she discusses key elements in developing a risk management … Read More
At the onset of the pandemic in early 2020, firms were forced to pivot quickly into a remote working environment. While business continuity plans had been repeatedly tested for a shift in location from the primary location, no one understood … Read More
Sr. Compliance Analyst Christopher Hufty and Sr. Compliance Consultant Janice Powell’s article, “Setting the Tone from the Top: Getting Executive Buy-In,” was published in the June 2022 edition of the National Society of Compliance Professionals’ Currents newsletter. The article takes a look … Read More
On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
There are many factors that go along with having a successful compliance program. Achieving executive buy-in is an integral part of building and maintaining a culture of compliance in any firm. Setting a tone at the top creates a clear … Read More
The Financial Industry Regulatory Authority (FINRA) has changed some of its rules on continuing education (CE) to help registrants who have stepped away from the industry retain their qualification for up to five years. By enrolling and keeping current on … Read More
In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More
RightSize Solutions Cyber-Chat Webinar | 1:00-2:00pm PT | April 27, 2022 | Speaker: Janice Powell