On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators … Read More
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
On this week’s episode we’ll be discussing the buzzworthy topic of Identity Theft Red flags.
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 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
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.
The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme. The focus on these investors has … Read More
“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance. Preventative, proactive compliance programs save enormous amounts of time, money, and sanity. As most firms are well aware, … Read More
For almost a decade, the Securities and Exchange Commission (“SEC”) has been issuing write-ups focused on providing investors with timely information on investment frauds and scams (“Investor Alerts”), along with education on various investment topics (“Investor Bulletins”) (both types referred … Read More