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.”
In this CCO Buzz we examine “constructive” custody and custody trapsand discuss steps firms are required to take when deemed to have custody.
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Conflicts exist in every business. However, investment advisers have a fiduciary duty to always put the interests of their clients ahead of their own. There are several areas of an adviser’s business that have potential conflicts of interest and even … Read More
In an Oct. 30, 2018, press release, the Securities and Exchange Commission (SEC) has announced that a proposal for updated disclosure agreements involving the complicated arena of variable annuities and variable life insurance contracts has been approved for public comment. … Read More
On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
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
On this week’s episode we have Core Compliance’s CEO Michelle Jacko. Michelle is here to speak on conflicts of interest. Our conversation was a little bit of a dive deep into some key issues, so we had to make it … Read More
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
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.