The Federal Trade Commission (FTC) has voted to propose alterations to two rules governing the protection of privacy and security of customer information in possession of financial institutions, the Safeguards Rule and the Privacy Rule under the Gramm-Leach-Bliley Act, specifically.
In late February charges of fraud by the SEC against a broker-dealer and its transfer agent were the latest in a series of SEC enforcement actions against parties engaged in the formation and trading of “blank check” companies.
BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services.
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More
May 2, 2019 | Speaker: Core Compliance
We feature Core Compliance’s Lead Senior Compliance Consultant Tina Mitchell – she’s here to help us think outside the box and really be prepared for the unexpected as we discuss some tips on how to prepare for a regulatory examination.
On this week’s episode we discuss the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.
March 7, 2019 | Speaker: Michelle Jacko, CSCP
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.