NSCP Webinar: Cybersecurity Risks You May Not be Considering
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
Proposed Amendments to the Safeguards and Privacy Rules: FTC Seeks Comment
The Federal Trade Commission (FTC) has voted to propose alterations to two rules governing the protection of privacy and security of customer information in possession of financial institutions, the Safeguards Rule and the Privacy Rule under the Gramm-Leach-Bliley Act, specifically.
2019 Annual Shareholders Service Group Conference
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
Updating Your Cybersecurity Policy: NFA Releases Interpretive Notice 9070
Our ever-increasing reliance on electronic devices and information technology to do business, combined with the constantly evolving methods used to electronically attack our firms and our clients, has elevated information security (cybersecurity) into a position of great importance.
Implementing Technology as Part of a Compliance Program
The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators … Read More
Robo-Advisers Still Have the Same Compliance Obligations as Traditional Firms
The issue of Robo-advisers (and the potential regulatory consequences of an adviser that relies heavily on automation to achieve what was traditionally achieved through human interaction) is nothing new. In fact, electronic investment advice has been a continuous SEC top … Read More
IAA Compliance Conference 2018: Effective Strategies and Best Practices
Speaker: Michelle Jacko
NSCP Spring Conference – Newport Beach, CA
Core Compliance will be presenting at the NSCP Spring Conference in Newport Beach, CA, on Monday, April 24, 2017.
November 3, 2016 – Core Compliance Annual Compliance Symposium (Anaheim, CA)
The New World of Compliance Core Compliance & Legal Services, Inc. (“Core Compliance”) will hold its annual symposium on Thursday, November 3rd, 2016, at the Sheraton Park Hotel in Anaheim, CA. (Across the street from Disneyland!)
Considerations for Compliance Automation
In every walk of life, manual functions are being automated and securities compliance is no exception. This trend will likely continue, and for good reason: automation can create efficiency, improve accuracy and increase capacity. In this update we will address some of … Read More