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
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
September 24, 2019 | RightSize Solutions