Episode 86: The New ERISA Exemption Rule
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
SEC to Focus on Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers and Mutual Fund Firms
On March 29, 2021, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a Risk Alert citing frequent shortcomings found in compliance reviews of Anti-Money Laundering (AML) reporting at broker-dealer and mutual fund firms. Find the Risk … Read More
How to Build an Effective Culture of Compliance
Often, when broker-dealers and investment advisory firms are sanctioned by the regulators, the question on everyone’s mind is: where was compliance? While most firms are required to have a designated Chief Compliance Officer (“CCO”), few have more than one compliance … Read More
Timely Takeaways from Zoom’s Consent Agreement with the FTC over Data Management Practices
Firms should take note that information security will remain an area of intense focus this year for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (the Division or EXAMS), formerly known as the Office of Compliance Inspections and … Read More
Considerations for Advancing Your Compliance Program
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
SEC Provides Long-Awaited Guidance and Requests Comments to Help Protect Bitcoin Investors
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More
Episode 82: Employee Training Tips for Year-End
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
SDBJ Selects CEO Michelle Jacko for SD 500 Influential Business Leaders 2020
CEO Michelle L. Jacko has been selected for the “San Diego 500 Influential Business Leaders” list by the San Diego Business Journal. The SD 500 is a through list of important leaders and executives in the San Diego business community, and includes those … Read More
SDBJ Honors Michelle Jacko as Finalist for Business Women of the Year Awards 2020
CEO Michelle L. Jacko has been honored as a finalist for the “Business Women of the Year Awards 2020” by the San Diego Business Journal. According to the San Diego Business Journal, this award “recognizes dynamic women business leaders who have contributed significantly to … Read More
CEO Michelle Jacko Selected as a Finalist for SDBJ’s Leaders in Law Awards
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!