On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.

The Financial Industry Regulatory Authority (FINRA) has changed some of its rules on continuing education (CE) to help registrants who have stepped away from the industry retain their qualification for up to five years. By enrolling and keeping current on … Read More

The release of the exam priorities report[1] was later this year than in prior years but appears to be worth the wait.  In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus.  … Read More

In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More

In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).

So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More

With the alarming increase in ransomware, cryptojacking, phishing and other related cyberattacks, the Securities and Exchange Commission (SEC) proposed new rules are designed to enhance cybersecurity preparedness to maintain orderly markets and protecting investors against cyber fraud.  The proposed rule … Read More

In early February 2022, the U.S. Securities and Exchange Commission (SEC) voted on the proposal of rules regarding cybersecurity risk management for the industry, specifically for registered investment advisers, and registered investment companies and business development companies (funds).

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Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More