Latest cco buzz

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. 

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Latest cco buzz

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 into a two-part series.

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Episode 26: Identity Theft Red Flags

November 16, 2018

On this week’s episode we have Core Compliance’s very own Adam Stutz. Adam is rejoining us this week to speak on a specialty of his – cybersecurity. But this time around he’ll be discussing the buzzworthy topic of Identity Theft Red flags.

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Episode 25: Due Diligence Investigations

November 09, 2018

This week, on episode 25, we are joined by Core Compliance’s Senior Compliance Consultant, Kurt Nuñez. He discusses the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.

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Episode 24: Steps for Performing a Risk Assessment

November 02, 2018

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 can apply to their own...

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Episode 23: Scary Cybersecurity Enforcement Action - Voya Financial Advisors

October 26, 2018

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.

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

October 19, 2018

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

October 12, 2018

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

October 05, 2018

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

September 28, 2018

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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