New DOL Conflicts of Interest Rule Has Arrived
On April 6, 2016, the Department of Labor’s (“DOL”) proposed rule expanding the definition of the term “fiduciary” and addressing certain conflicts of interest was adopted and published (the “DOL Conflicts Rule”). While the final rule is not as extensive … Read More
2016 Solutions for Compliance Professionals
In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 … Read More
Preparing for a Regulatory Exam
Preparing for a regulatory exam can be overwhelming. Watch to learn how Core Compliance can help.
Cybersecurity – Email Security Steps
In today’s world, emails are the main avenue of communication, both for personal and business purposes. However, accompanying that is the fact that email hacking has become more commonplace and hackers continue to find sophisticated ways to obtain illegal access.
Cybersecurity Vulnerability Assessments and Penetration Tests
Vulnerability assessments and penetration testing enter the realm of information security (IS) professionals. It is important to note that information security is a sub-specialty of information technology and most “IT guys” are not trained in information security. Therefore, it’s important … Read More