Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)
On this episode of the CCO Buzz we discuss the on the newly released 2019 SEC Exam Priorities and consideration for CCO’s in 2019.
CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
Episode 30: Custody Considerations
In this CCO Buzz we examine “constructive” custody and custody trapsand discuss steps firms are required to take when deemed to have custody.
Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Episode 28: Conflicts of Interest (Part 2)
On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
Episode 27: Conflicts of Interest (Part 1)
On this week’s episode we have Core Compliance’s CEO Michelle Jacko. Michelle is here to speak on conflicts of interest. Our conversation was a little bit of a dive deep into some key issues, so we had to make it … Read More
Episode 26: Identity Theft Red Flags
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
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.