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United States

Twitter:

@CoreCLS

Language:

English

Contact:

619.278.0020


Episodes

Ep 25: Due Diligence Investigations

11/7/2018
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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.

Duration:00:04:15

Ep. 24: Steps for Performing a Risk Assessment

10/30/2018
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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.

Duration:00:05:13

Ep. 23: Scary Cybersecurity Enforcement -Voya Financial Advisors

10/25/2018
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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.

Duration:00:04:09

Ep 22: NFA Rule Book - Interpretive Notice 9073 (Part 2)

10/17/2018
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Ep. 22: Core Compliance’s very own Compliance Consultant Adam Stutz, rejoins us this week to jump right back in to share his insight directly from the NFA Rule book.

Duration:00:05:13

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

Episode 14: Getting to Know Adam Stutz

8/17/2018
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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.

Duration:00:03:08

Take Aways from the OCIE Risk Alert on Advisory Fee Expense Issues

4/12/2018
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Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.

Duration:00:06:25

Episode 12: P & P Manuals and What to Know in Compliance for Q2

4/5/2018
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Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.

Duration:00:06:01

Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference

3/22/2018
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This week, Jennifer Greene discusses the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone's mind as well as the most popular sessions of the conference.

Duration:00:07:13

Considerations for Hiring an Outsourced Compliance Consultant

3/12/2018
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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.

Duration:00:06:05

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