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

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...

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Featured Publication

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. 

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Risk Management Updates

Year End Compliance Checklist Considerations for Investment Advisers

With another year winding down, compliance personnel need to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion.  Consideration of any regulatory changes, guidance and risk alerts issued during the year, emerging best practices and enforcement...

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Updates and Changes to Your Firm's Policies and Procedures

Under Rule 206 (4) -7 all Registered Investment Advisers (“RIA’s) are required to have compliance Policies and Procedures, adequately designed to help them meet their regulatory requirements.  A Firm’s obligations regarding their Policies and Procedures manuals do not end at just having a manual. ...

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Cybersecurity Testing as Part of the Annual Review

Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity remains a top...

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Publications

Forbes Council Features President Tito Pombra

President Tito Pombra was quoted on the Forbes Council blog post, "Considering An Online Lender? 12 Things Every Business Owner Should Know" on October 1, 2019. In the post, Tito and his fellow Forbes Finance Council members provide insight on the best ways to approach online lending. 

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Tito Pombra Featured on Enterprise Podcast Network

President Tito Pombra was featured on the Enterprise Podcast Network on September 16, 2019. During his episode, “Consumers Need to Do Their Due Diligence When Selecting a Trusted Advisor," Mr. Pombra discusses what a consumer should do when looking for an advisor, as well as red flags to be aware...

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Forbes Council - Creating a Strong Culture of Compliance

President Tito Pombra's article was featured in Forbes Council  (blog) titled "Creating a Strong Culture of Compliance" published July 8, 2019. In the article Mr. Pombra discusses what it means for a firm to have an established "tone at the top", as well as how to create and maintain a culture of...

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