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

Staying Ahead of the Cybersecurity Curve: Part II

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 to take appropriate steps to...

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Featured Publication

NSCP Currents - Compliance Year-End Preparation Checklist

Featured in the December 2017 edition of the National Society of Compliance Professionals ("NSCP")  Currents  publication, our Lead Senior Compliance Consultant,  Tina Mitchell , provides guidance on compliance and what you should be thinking about to prepare for 2018. 

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Risk Management Updates

The Art to Performing Annual Reviews

Annual reviews are a required compliance task that must be completed by all investment advisers registered with the Securities and Exchange Commission (“SEC”).  However, many investment advisers   may not understand the regulatory intent and expectations for performing the mandatory annual review. ...

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Year End Compliance Checklist Considerations for Investment Advisers

 With the third quarter of 2018 coming to a close, it’s time for Chief Compliance Officers (“CCOs”) to start taking inventory and determine what compliance projects still need to be addressed. To assist with this process, we’re providing a detailed checklist that includes risk management tips...

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Staying Ahead of the Cybersecurity Curve

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; however,...

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Publications

NSCP Currents - What Advisors Need to Do for Upcoming Changes to Form ADV

Featured in the July 2017 edition of the National Society of Compliance Professionals ("NSCP") Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, describes the essentials for advisors to prepare for the upcoming changes to Form ADV. 

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Wolters Kluwer - Today's Challenges for Servicing Aging Clients

September/October 2016

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Financial Planning - When Building a Website, Lose the Generic Content

July 2016

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