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Location:

United States

Twitter:

@CoreCLS

Language:

English

Contact:

619.278.0020


Episodes

Ep 21: NFA Rulebooks - Interpretive Notice 9073

10/11/2018
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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.

Duration:00:04:31

Episode 20: ABC Test - Independent Contractor vs. Employee

10/4/2018
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Episode 20: On this week’s episode of the CCO Buzz we have Senior Compliance Consultant Robert Boeche. He brings to light a recent issue regarding independent contractor and employee classification.

Duration:00:03:00

Episode 19: Year End Compliance Preparations

9/26/2018
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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.

Duration:00:05:00

Episode 18: Cybersecurity Training & Mentorship

9/24/2018
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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.

Duration:00:05:13

Episode 17: California Consumer Privacy Act 2018

9/13/2018
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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.

Duration:00:05:47

Episode 16: Senior$afe Act (Part 2)

9/6/2018
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In Episode 16 of the CCO Buzz, Core Compliance CEO Michelle Jacko continues her discussion on the Senior Safe Act and senior investor issues.

Duration:00:07:21

Senior $afe Act (Part 1)

8/29/2018
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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.

Duration:00:05:31

Major Compliance Deadlines for 2018 - Second Quarter

3/8/2018
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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.

Duration:00:06:07

Self Reporting Share Class Selection Disclosures

3/1/2018
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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:

Duration:00:06:01

Episode 7: SEC Exam Priorities, Part 3 - Tips for CCOs

2/22/2018
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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.

Duration:00:04:36

SEC Exam Priorities Part 2 - Specific Areas of Focus

2/15/2018
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This week, Michelle Jacko talks about the SEC's areas of focus for their 2018 regulatory exams.

Duration:00:04:24

2018 SEC Exam Priorities, Part 1

2/12/2018
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On this week's CCO Buzz, we will be talking about the 2018 National Exam Program Examination Priorities, which was just issued on February 7, 2018 by the US Securities and Exchange Commission.

Duration:00:05:06

Answering 3 Common Questions About Crowdfunding and Regulatory Compliance

2/1/2018
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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.

Duration:00:04:56

Performance Advertising Issues for Investment Advisers

1/25/2018
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This week, Michelle Jacko discusses what investment advisers and CCOs need to be aware of when it comes to performance advertising, and the potential issues that firms may encounter.

Duration:00:07:20

CCO Buzz Episode 2: Aging Client Considerations

1/18/2018
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Aging client considerations continue to be a regulatory focus year after year. Learn what you should be aware of and prepared for in this episode of CCO Buzz:

Duration:00:03:55

Episode 1: Practical Tips for Your Cybersecurity Program

1/11/2018
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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.

Duration:00:02:58