In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure … Read More
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
In the first case of its kind, charges have been filed against a firm for failure to meet the standards of identity theft the Red Flags Rule, which sets standards for the protection of customers against identity theft. Des Moines … Read More
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 features a discussion from the National Futures Association (“NFA”) Rule book.
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.
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number of sources, but the level of potential damage to individual firms and the overall market also increases … Read More
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.
Cybersecurity and cyberattacks continue to dominate the news and the regulatory landscape in 2018. It is projected that they will continue to remain prominent issues for financial institutions for the foreseeable future.[1] To anticipate future cyberattacks is a near impossibility; … Read More
We introduce and get to know Core Compliance & Legal Services’ very own Compliance Consultant, who discusses his journey into compliance and provides tips to breaking into the industry.