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      • Michelle L. Jacko, CSCP
      • Ricardo Meneses
      • Jason M. Ewasko
      • Tina L. Mitchell
      • Janice Powell, IACCP®
      • Matthew Rothchild
      • Maggie Tavares, AIF®
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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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213.330.0537

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  • Why Us
    • Our Process
    • Our Team
      • Michelle L. Jacko, CSCP
      • Tina L. Mitchell
      • Ricardo Meneses
      • Jason M. Ewasko
      • Janice Powell, IACCP®
      • Matthew Rothchild
      • Maggie Tavares, AIF®
      • Suzette Hagan
      • Christopher Hufty
      • Haley Gould
      • Anneka van Dongen
      • Aimee Lastrella
      • Anna Schnitkey
    • Careers
  • Who We Serve
    • Investment Advisers
    • Investment Companies
    • Broker-Dealers
    • Private Fund Managers
  • How We Can Help
    • Packaged Services
    • Hourly Services
      • Regulatory Filings and Registrations
      • Regulatory Examinations
      • Compliance Risk Management
      • Compliance Technology
      • Advertising and Marketing Reviews
      • Training and Mentoring
    • Special Projects
  • Knowledge Center
    • Risk Management Updates
    • Publications
    • Events
    • Blog
    • CCO Buzz Podcast
  • Schedule A Call