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Publications

NSCP Currents - Privacy Best Practices and Updates on Regulation S-P

Nov./Dec. 2009 - View PDF

NSCP Currents - The Private Fund Investment Advisers Registration Act of 2009

July/ August 2009 - View PDF

Bank Advisor Magazine - Who is Risking Your Business? (Part III)

Jan. / Feb. 2009 - View PDF

Privacy Protections Required by Securities Firms: Compliance with the Evolving Regulatory Landscape

Dec. 2008 - View PDF

Bank Advisor Magazine- Who's risking your business? (Part II)

Nov. / Dec. 2008 - View PDF

Bank Advisory Magazine - Are Your Employees Risking Your Business (Part I)

Sept. / Oct. 2008 - View PDF

Bank Advisor Magazine - The Effects of Regulation S-P on Your Business

July/ Aug. 2008 - View PDF

NSCP Currents - The Changing Landscape of Disclosure: Proposed Changes to Form ADV Part 2

May / June 2008 - View PDF

Bank Advisor Magazine- Do Right by Our Men and Woman in Uniform

March / April 2008 - View PDF

Bank Advisor Magazine- The New Merrill Lynch Guidelines

Jan. / Feb. 2008 - View PDF

NSCP Currents - Code of Ethics for the Compliance Professionals (Michelle Jacko co-author)

May 2007 - View PDF

NSCP - Broker Dealers

May 2006 - View PDF

NSCP Currents - Developments Under NASD Rule 3012 - Supervisory Control Systems

May / June 2006 - View PDF

NSCP Currents - Investment Adviser Compliance Programs: What CCOs Learned in the First 18-Months

March / April 2006 - View PDF

NSCP Currents - Balancing the Role of CCO & Legal Counsel (Michelle Jacko)

Jan. / Feb. 2005 - View PDF

NSCP Currents - IARD Conversion Q & A

Jan. / Feb. 2001 - View PDF

CCLS Blogs

Form 13F Filing Deadline Approaching

Section 13(f) of the Securities Exchange Act of 1934 requires institutional investment managers with investment discretion over $100 million or more of certain equity securities to file quarterly reports disclosing ...

Massachusetts Issues Guidance Regarding Use of Social Media by Investment Advisers

Recognizing the rapid growth of the use of social media in the securities industry, the SEC recently released a Risk Alert on the use of social media by investment advisers ...

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