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.
Episode 24: Steps for Performing a Risk Assessment
Episode 24 features Core Compliance’s Lead Senior Compliance Consultant, Tina Mitchell. Tina’s back to discuss the integral steps to performing a Risk Assessment and informs our audience of core risk areas. She also provides key examples and scenarios that listeners … Read More
Episode 23: Scary Cybersecurity Enforcement Action – Voya Financial Advisors
To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a recent enforcement action dealing with cybersecurity and cybersecurity breaches.
The Art to Performing Annual Reviews
Annual reviews are a required compliance task that must be completed by all investment advisers registered with the Securities and Exchange Commission (“SEC”). However, many investment advisers may not understand the regulatory intent and expectations for performing the mandatory annual … Read More
Episode 20: ABC Test – Independent Contractor vs Employee Classification
On this week’s episode of the CCO Buzz we discuss a recent issue regarding independent contractor and employee classification, noting that firms need to keep this matter top of mind as 2018 progresses.
Hamlin Capital Management, LLC — Cease-and-Desist Order and Remedial Sanctions Levied by SEC
Hamlin Capital Management, LLC, a New York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross-trading activity that favored particular client accounts over others. To be more specific, Hamlin improperly moved tax-exempt municipal … Read More
Episode 18: Cybersecurity Training and Mentorship
On this week’s episode of the CCO Buzz we discuss the hot topic of Cybersecurity and the value of Cybersecurity Training and Mentorship in today’s evolving industry.