As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
The Federal Trade Commission (FTC) has voted to propose alterations to two rules governing the protection of privacy and security of customer information in possession of financial institutions, the Safeguards Rule and the Privacy Rule under the Gramm-Leach-Bliley Act, specifically.
Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm.
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More
We feature Core Compliance’s Lead Senior Compliance Consultant Tina Mitchell – she’s here to help us think outside the box and really be prepared for the unexpected as we discuss some tips on how to prepare for a regulatory examination.
March 7, 2019 | Speaker: Michelle Jacko, CSCP
In a December 2018 press release, the SEC (Securities and Exchange Commission) announced the publication of the OCIE (Office of Compliance Inspections and Examinations) examination priorities for 2019.
On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop.