On episode 97 of the CCO Buzz podcast, a Sr. Compliance Consultant and Sr. Compliance Analyst join us to discuss establishing a culture of compliance – starting at the top. (GUITAR INTRO) CCO Buzz: Hello and welcome back to the … Read More
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
There are many factors that go along with having a successful compliance program. Achieving executive buy-in is an integral part of building and maintaining a culture of compliance in any firm. Setting a tone at the top creates a clear … Read More
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More
Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More
On episode 95 of the CCO Buzz podcast, we discuss the growing focus of regulators on cybersecurity!
Successful compliance is built upon a solid foundation of risk management. Effective compliance programs begin with a thorough assessment to identify areas of risk within the organization. Developing a risk management framework is crucial to an organization’s ability to develop … Read More
2022 NSCP Virtual Educational Seminar | March 16, 2022 | Speakers: Michelle L. Jacko
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko