June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More
In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
The implementation of technology has become an integral component in the administration of a compliance program. Gone are the days of maintaining hardcopies in filing cabinets and conducting manual reviews of compliance tests. Similar to the adoption of technology in … Read More
Using technology has become a very integral part of today’s business services, especially in the financial industry. Due to the changes in both state and federal securities regulations over the last few years, the need for financial firms to have … Read More
On episode 87 of the CCO Buzz, we discuss the advantages of compliance technology with Core Compliance’s Managing Director of Consultation Services, Tina Mitchell.
The question of how many resources your firm should allocate to your compliance department to fulfill its regulatory responsibilities can be a hot-button topic for investment advisory firms of all sizes. The hard, cold truth is that senior management must … Read More
The COVID-19 pandemic has upended our personal and professional lives and many businesses are adjusting to this new environment in which working from home could be the new normal for an extended period of time. Since many firms have shifted … Read More
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More