Publications | Regulatory Examinations

NSCP Currents – Tips on How to Prepare For Your Next Examination: Part 2

Updated: January 19, 2022 by

Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 2,” was featured in the April 2019 edition of the National Society of Compliance Professionals’ Currents.
Click here to read the article.

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Core Compliance & Legal Services, Inc. is a compliance consulting firm serving investment advisers, broker-dealers, investment companies, and private fund managers nationwide, built on decades of combined in-house and former-regulator experience. The team takes a high-touch, human-centric approach to SEC, FINRA, and state compliance — acting as a virtual extension of each client's compliance team so firms can pursue growth with peace of mind.

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