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.
Episode 17: California Consumer Privacy Act 2018
In June 2018, California Governor Jerry Brown signed the CA Consumer Privacy Act of 2018 into law. In this episode of the CCO Buzz, CEO Michelle Jacko explains the major provisions within the legislation and offers key considerations financial institutions … Read More
Compliance Alert: OCIE Issues Best Execution Risk Alert
Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.
Episode 16: Senior$afe Act (Part 2)
CEO Michelle Jacko picks up where she left off on our two-part series covering the Senior Safe Act. In this segment, she covers the integral definitions, training requirements and other essential know-how regarding the reporting process, under the Senior Safe … Read More
Episode 15: Senior$afe Act (Part 1)
In this week’s episode, we have Core Compliance’s CEO Michelle Jacko diving into the complexities of the Senior Safe Act and proper protocols, to best prepare for an SEC examination.