CCO Buzz

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Episode 22: NFA Rulebook - Interpretive Notice 9073 (Part 2)

Episode 22 features Core Compliance’s very own Compliance Consultant Adam Stutz, who rejoins us this week to jump right back in to share his insight directly from the National Futures Association ("NFA") Rule book.

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Episode 21: NFA Rulebook - Interpretive Notice 9073

On episode 21 we have Compliance Consultant Adam Stutz discussing the National Futures Association (“NFA”) board's recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities. We also do a deep dive into the NFA Rulebook.

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Episode 21: NFA Rulebook - Interpretive Notice 9073

On episode 21 we have Compliance Consultant Adam Stutz discussing the National Futures Association (“NFA”) board's recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities. We also do a deep dive into the NFA Rulebook.

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Episode 20: ABC Test - Independent Contractor vs Employee Classification

On this week’s episode of the CCO Buzz we have Senior Compliance Consultant Robert Boeche. He brings to light a recent issue regarding independent contractor and employee classification. Noting that firms need to keep this matter top of mind as 2018 progresses.

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Episode 19: Year End Preparations

On this week’s episode of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She provides a few helpful considerations for firms to keep top of mind as they prepare for Q4 and the upcoming new year. She also invites the audience to attend an upcoming Core Compliance Webinar this...

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