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Core Compliance

The knowledge hub for the 2022 IAA Investment Adviser Compliance Conference presentation, “Annual Reviews,” presented by CEO Michelle L. Jacko.

 

Presentation Slides
  • 2022 IAA Compliance Conference – Annual Reviews Presentation

 

Supplemental Materials

  • SEC Risk Alert – Investment Adviser Compliance Programs, November 2020
  • IA Compliance Program Essentials
  • Core Compliance RMU – Considerations for Advancing Your Compliance Program, January 2021
  • JLG Blog Post – What the SEC Really Wants to Find in Your Firms Compliance Manual
  • Sample Compliance Review Sheets 2022
  • SEC Speech – Managed Funds Association Educational Seminar Series 2005 – Practical Guidance for Hedge Fund CCOs – May 5 2005, Gene Gohlke
  • SEC Speech – Put The Compliance Rule To Work – IA Compliance Best Practices Summit – March 15 2004, Lori A. Richard
  • SEC Questions Advisers Should Ask When Reviewing Compliance Programs – May 2006
  • Top 10 Considerations for IA Annual Reviews
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  • Outsourced Compliance Solutions
    • Outsourced CCO
    • Deputy CCO
    • Core Package
    • Basic Package
    • AML Compliance Package
    • Catalog of Services
  • Who We Serve
    • Investment Advisers
    • Investment Companies
    • Broker-Dealers
    • Private Fund Managers
  • Why Us
    • Our Unique Process
    • Team
    • Careers