OCIE 2019 Examination Priorities Released
In a December 2018 press release, the SEC (Securities and Exchange Commission) announced the publication of the OCIE (Office of Compliance Inspections and Examinations) examination priorities for 2019.
Episode 36: Q1 – Form ADV Amendments and Disclosing Conflicts of Interest
On episode 36 of the CCO Buzz we cover some frequently asked questions, or FAQs, that the team has seen, and heard, as we are currently assisting clients with their first quarter, (“Q1”) along with their annual updates.
Episode 35: Takeaways From the 2019 Core Compliance Workshop
On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop.
CCO Buzz Podcast | Disclosures | Form ADV | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 34: The Government Shutdown’s Impact on SEC Examinations
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
Implementing Technology as Part of a Compliance Program
The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators … Read More
Episode 33: Risk Alert – Electronic Communications
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
A Need for Internal Transparency: JPMorgan Sued for Spoofing Precious Metals
Investors have sued JPMorgan Chase & Co., and a group of precious metals traders employed there, in New York federal court, claiming they manipulated futures contracts through a rogue broker practice known as “spoofing.”
Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Fraudulent Claims of SEC Approval in Marketing Cryptocurrency Trading
As the awareness and popularity of cryptocurrencies increase, so do the instances of fraud and dishonest behavior associated with their trade, which is evidenced by the recent Securities and Exchange Commission (SEC) Investor Alert on the subject. In this alert, … Read More
Staying Ahead of the Cybersecurity Curve: Part II
In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure … Read More