Episode 25: Due Diligence Investigations
This week, on episode 25, we discuss the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.
Episode 24: Steps for Performing a Risk Assessment
Episode 24 features Core Compliance’s Lead Senior Compliance Consultant, Tina Mitchell. Tina’s back to discuss the integral steps to performing a Risk Assessment and informs our audience of core risk areas. She also provides key examples and scenarios that listeners … Read More
Episode 23: Scary Cybersecurity Enforcement Action – Voya Financial Advisors
To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a recent enforcement action dealing with cybersecurity and cybersecurity breaches.
Episode 22: NFA Rulebook – Interpretive Notice 9073 (Part 2)
Episode 22 features a discussion from the National Futures Association (“NFA”) Rule book.
Episode 21: NFA Rulebook – Interpretive Notice 9073
On episode 21 we discuss 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.
Episode 20: ABC Test – Independent Contractor vs Employee Classification
On this week’s episode of the CCO Buzz we discuss a recent issue regarding independent contractor and employee classification, noting that firms need to keep this matter top of mind as 2018 progresses.
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 … Read More
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.
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
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