IAA Investment Adviser Compliance Conference 2019
March 14, 2019 | Speaker: Michelle Jacko, CSCP
FINRA Releases Report on Effective Industry Cybersecurity Practices
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
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.
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
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.”
Trouble With Tokens Continues: ICO Issuers Settle SEC Registration Charges
Despite the Securities and Exchange Commission (SEC) toughening its regulation of virtual currencies and initial coin offerings, enforcement actions continue to be filed with increasing frequency.
Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)
On this episode of the CCO Buzz we discuss the on the newly released 2019 SEC Exam Priorities and consideration for CCO’s in 2019.
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 30: Custody Considerations
In this CCO Buzz we examine “constructive” custody and custody trapsand discuss steps firms are required to take when deemed to have custody.