Episode 21: Core Compliance's very own Compliance Consultant Adam Stutz discusses the National Futures Association (“NFA”) board's recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities, as well as a deep dive into the NFA Rulebook.
Episode 19: We have Core Compliance’s very own Lead Senior Compliance Consultant Tina Mitchell discussing a few helpful tips to consider when preparing for the close of 2018 and firm's compliance programs.
Episode 18: Compliance Consultant Adam Stutz discusses the hot topic of Cybersecurity, but more importantly he’ll be focusing on the value of Cybersecurity Training and Mentorship in today’s evolving industry.
Episode 17: 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 may want to review in preparation.
Episode 15: In our 2-pat series, CEO Michelle Jacko discusses considerations Investment Advisors should be considering with regards to Senior Safe Protocols, in light of the current SEC Examination Program.
There are some major deadlines approaching for investment advisers as we near the end of the first quarter and look ahead to Q2. Tune in to hear about some of the big ones to be aware of, and how to prepare so you don't miss the filing due dates.
The SEC's recent announcement regarding self-reporting of mutual fund share class selection disclosures is one that should concern many broker dealers and investment advisers. Learn more about what you should be aware of in this week's CCO Buzz:
Need to know what specific actions you should take as a CCO in light of the SEC's recent exam priorities? Michelle Jacko, CEO of Core Compliance, discusses the specifics that CCOs should be considering in the upcoming weeks and months.
At Core Compliance, we're often asked about the regulatory compliance around crowd funding. When do you need to file specific forms, or what limits are there on advertising? Michelle Jacko, CEO, discusses the three most common questions we're asked in this episode of the CCO Buzz.
How do you ensure that your financial institution is properly prepared in all aspects of Cybersecurity? Michelle Jacko, CEO of Core Compliance℠, discusses the essentials of cybersecurity preparedness in this first episode of the CCO Buzz - Cybersecurity Preparedness for Financial Institutions.