Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Identifying and Mitigating Advisory Conflicts of Interest
Conflicts exist in every business. However, investment advisers have a fiduciary duty to always put the interests of their clients ahead of their own. There are several areas of an adviser’s business that have potential conflicts of interest and even … Read More
Disclosure Improvements Proposed by SEC for Variable Annuities and Variable Life Insurance Contracts
In an Oct. 30, 2018, press release, the Securities and Exchange Commission (SEC) has announced that a proposal for updated disclosure agreements involving the complicated arena of variable annuities and variable life insurance contracts has been approved for public comment. … Read More
Episode 28: Conflicts of Interest (Part 2)
On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
Episode 27: Conflicts of Interest (Part 1)
On this week’s episode we have Core Compliance’s CEO Michelle Jacko. Michelle is here to speak on conflicts of interest. Our conversation was a little bit of a dive deep into some key issues, so we had to make it … Read More
Staying Ahead of the Cybersecurity Curve: Part II
In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure … Read More
Episode 26: Identity Theft Red Flags
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges
Fraudulent messaging that affects retail investment decisions come in many forms, but the applicable regulatory statutes apply across all circumstances. That includes the use of social media. On August 7, 2018, Elon Musk made the decision to publicly announce on … Read More
Episode 25: Due Diligence Investigations
This week, on episode 25, we discuss the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.