Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
How Strong Is Your Cybersecurity Program?
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More
Here are the Areas of Focus for SEC Compliance in 2020
Senior retail investors and cybersecurity. The only thing they have in common is their presence on the list of examination priorities this year for the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The priorities are published … Read More
Broker-Dealers | CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 65: The SEC’s Examination Priority Areas for Advisers & Broker-Dealers in 2020
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC’s examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
Episode 63: Cybersecurity Training for Employees
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Why the SEC’s Scrutiny of Digital Assets Creates Opportunity for Financial Advisers
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … Read More
Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
Cybersecurity Considerations to Address in Preparation for 2020
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
Join the Cybersecurity Conversation Webinar September 24, 2019
September 24, 2019 | RightSize Solutions
Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.