This week, on episode 25, we are joined by Core Compliance’s Senior Compliance Consultant, Kurt Nuñez. With his 17 plus years of extensive experience in the securities industry, Kurt discusses 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 can apply to their own assessments.
Ep. 23: To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a scary matter in 2018, cybersecurity breaches. But more so, she’ll be focusing on a recent SEC enforcement action with Voya Financial Advisors.
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.
Episode 14: We introduce and get to know Core Compliance & Legal Services' very own Compliance Consultant, Adam Stutz. Adam discusses his journey into compliance and provides tips to breaking into the industry.
When considering potential compliance consultants for your investment advisory firm to partner with, there's some key considerations you should have in mind. Gebriela Birhane discusses what your firm should be looking for in their compliance consultant.
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.