Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
Performing Due Diligence on Service Providers is Essential During COVID-19
Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest. The Securities and Exchange Commission (“SEC”) describes … Read More
Episode 69: Meet Our Sr. Compliance Consultant – Part 2
On episode 69 of the CCO Buzz, we ask our Sr. Compliance Consultant to tell us more about himself and his experience in the compliance industry.
Two Important Concerns to Address Within Your Business Continuity Plan (BCP) for an SEC Examination
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
How Strong Is Your Cybersecurity Program?
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More
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
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
Episode 66: Get to Know our Client Relations Executive!
On episode 66 of the CCO Buzz, we get to know our Client Relations Executive!
Forms ADV and CRS – Important Things You Need to Know
Update: (March 16, 2020) Since the original publishing of this Risk Management Update in February 2020, many details have changed in the securities industry due to the coronavirus (COVID-19) pandemic. Please find additional updated information regarding your Form ADV filings … Read More