Using technology has become a very integral part of today’s business services, especially in the financial industry. Due to the changes in both state and federal securities regulations over the last few years, the need for financial firms to have … Read More
On episode 87 of the CCO Buzz, we discuss the advantages of compliance technology with Core Compliance’s Managing Director of Consultation Services, Tina Mitchell.
On March 29, 2021, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a Risk Alert citing frequent shortcomings found in compliance reviews of Anti-Money Laundering (AML) reporting at broker-dealer and mutual fund firms. Find the Risk … Read More
Often, when broker-dealers and investment advisory firms are sanctioned by the regulators, the question on everyone’s mind is: where was compliance? While most firms are required to have a designated Chief Compliance Officer (“CCO”), few have more than one compliance … Read More
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
As the year is ending, we know that there are several items that you will be focused on completing. An important item that should be on your list, is confirming that adequate compliance training has been provided to your personnel. … Read More
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More