Episode 26: Identity Theft Red Flags
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
SEC Charges Two Brokers with Defrauding Customers
In separate complaints, the Securities and Exchange Commission has charged two brokers, Emil Botvinnik of Florida and Jovannie Aquino of New York, with recommending excessive levels of short-term trades that appear to have generated lucrative commissions for the brokers, but … Read More
The Red Flags Rule: SEC Charges Voya Financial Advisors Inc. With Deficient Cybersecurity Procedures
In the first case of its kind, charges have been filed against a firm for failure to meet the standards of identity theft the Red Flags Rule, which sets standards for the protection of customers against identity theft. Des Moines … Read More
Episode 25: Due Diligence Investigations
This week, on episode 25, we discuss the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.
Episode 23: Scary Cybersecurity Enforcement Action – Voya Financial Advisors
To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a recent enforcement action dealing with cybersecurity and cybersecurity breaches.
Episode 22: NFA Rulebook – Interpretive Notice 9073 (Part 2)
Episode 22 features a discussion from the National Futures Association (“NFA”) Rule book.
Episode 21: NFA Rulebook – Interpretive Notice 9073
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.
Episode 20: ABC Test – Independent Contractor vs Employee Classification
On this week’s episode of the CCO Buzz we discuss a recent issue regarding independent contractor and employee classification, noting that firms need to keep this matter top of mind as 2018 progresses.
Episode 18: Cybersecurity Training and Mentorship
On this week’s episode of the CCO Buzz we discuss the hot topic of Cybersecurity and the value of Cybersecurity Training and Mentorship in today’s evolving industry.
Keeping Accurate Books? — SEC Charges BGC Financial for Failure to Preserve Critical Records
A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, gifts, and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.