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.
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
As the year is ending, we know that there are several items that you will be focused on completing. An important item that should be on your list, is confirming that adequate compliance training has been provided to your personnel. … Read More
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
This year will certainly be one for the history books. The worldwide pandemic continues to impact our country and the way we live. For the financial industry, we have witnessed evolutions and changes of focus in regulatory examinations.
In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies of all businesses and the team at Core Compliance … Read More
Core Compliance’s article, “How to Prepare for an SEC Cybersecurity Exam,” was published in the October 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article discusses the steps your firm can take to prepare for and thrive during … Read More
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More
November 12, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Michelle L. Jacko and Robert Hille