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 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 22 features a discussion from the National Futures Association (“NFA”) Rule book.
The promise of lucrative and rapid profits in virtual currency trading, including its derivatives, has attracted a high number of investors who may not understand the unique and potentially significant risks involved. The NFA (National Futures Association) has released statements, … Read More
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.
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
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
The issue of Robo-advisers (and the potential regulatory consequences of an adviser that relies heavily on automation to achieve what was traditionally achieved through human interaction) is nothing new. In fact, electronic investment advice has been a continuous SEC top … Read More
Michelle Jacko discusses key takeaways from the OCIE’s recent Risk Alert on Advisory Fee Expense Issues.
Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.