Risk Management Updates

Learn about the lastest changes in compliance and risk management for the financial industry.

Publications

View Core Compliance’s contributions to industry publications.

Latest Risk Management Update

The Pros and Cons of Outsourcing Your Chief Compliance Officer (“CCO”)

What is “Outsourcing”? Outsourcing is defined as a way to obtain (goods or a service) from an outside or foreign supplier, especially in place of an internal source. In today’s market, many organizations choose to outsource specific every day critical tasks to outside experts. A prime example:  an...

Read More

Featured Publication

Forbes Council Features President Tito Pombra

President Tito Pombra was quoted on the Forbes Council blog post, "Investing In The Stock Market: 12 Tips For Newcomers" on December 13, 2019. Tito and other industry experts offer their best tips for investing in the stock market to those who aren't professionals, or are new to investing, in this...

Read More

Risk Management Updates

Gifts & Business Entertainment Conflicts - The Ongoing Challenge for Broker-Dealers

Managing Conflicts Managing a broker dealer’s gifts and business entertainment conflicts can be an ongoing challenge for even the best compliance team. This task can become even more challenging as the holidays approach. You want to thank your clients for their business, but you should also remind...

Read More

Compliance Considerations of Portfolio Management and Trading

Proper Portfolio Management and Trading are Regulatory Priorities: In its 2019 Examinations Priorities Letter, the Securities and Exchange Commission (“SEC”), Office of Compliance Inspections and Examinations, listed Portfolio Management and Trading as SEC Examinations priorities.[1]  Many Firms...

Read More

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 the top of the Securities and Exchange...

Read More

View All

Publications

NSCP Currents - Best Execution Considerations for Advisers

Lead Sr. Compliance Consultant Tina Mitchell's article, "Best Execution Considerations for Advisers," was featured in the November 2019 edition of the National Society of Compliance Professionals' Currents.  The article discusses consideration factors for seeking best execution, testing protocols...

Read More

NSCP Currents - Year End Compliance Checklist Considerations for Investment Advisers

Lead Sr. Compliance Consultant Tina Mitchell's article, "Year End Compliance Checklist Considerations for Investment Advisers," was featured in the October 2019 edition of the National Society of Compliance Professionals'  Currents.

Read More

Performing Due Diligence and Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II

CEO Michelle Jacko, Robert Boeche, Tina Mitchell, and Craig Watanabe, wrote the article, "Performing Due Diligence and Oversight of Third-Party Service Providers," which was published in the 2017 edition of Wolters Kluwer's Modern Compliance Volume II. 

Read More

View All