Episode 67: Due Diligence of Investments
We discuss the Due Diligence of Investments on episode 67 of the CCO Buzz.
Is Your Firm Prepared for a Pandemic?
UPDATE (03.12.2020): Since the publishing of this blog post the Coronavirus (COVID-19) has infected more than 130,267 confirmed unique cases and has killed over 4,700 of those affected across 125 countries. The recent outbreak of the Coronavirus (COVID-19) has spread to … Read More
Do You Have What It Takes to be a Whistleblower?
Every now and then, the Securities and Exchange Commission (SEC) encounters a case that serves as a textbook example of everything that can go awry when a firm deems fraud more important than fiduciary responsibility. On December 19, 2019, … Read More
NSCP Webinar: Implementing A Stronger Due Diligence Program
July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
NSCP Webinar: How To Create A Strong Culture Of Compliance
July 25, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
Forbes Council – Creating a Strong Culture of Compliance
Core Compliance’s article was featured in Forbes Council (blog) titled “Creating a Strong Culture of Compliance” published July 8, 2019. The article discusses what it means for a firm to have an established “tone at the top”, as well as … Read More
Forbes Council Features President Core Compliance President
Core Compliance’s President was quoted on the Forbes Council blog post, “Investing In The Stock Market: 12 Tips For Newcomers” on December 13, 2019. Tito and other industry experts offer their best tips for investing in the stock market to … Read More
Here’s a Way to Showcase Your Fiduciary Responsibilities
A focus on the retail investor and cyber-related misconduct resulted in a record total of $4.3 billion in disgorgements and penalties ordered by the Securities Exchange Commission in 2019. Among the Commission’s 862 enforcement actions were a $100 million fine … Read More
IAA Investment Adviser Compliance Conference 2020
March 5-6, 2019 | Washington, D.C. | Speaker: Michelle Jacko, CSCP