Matthew Rothchild
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Matthew Rothchild Matthew Rothchild Sr. Compliance Consultant State, SEC, and FINRA Examinations Risk Assessments, Annual Reviews, and Regulatory Mock Audits Compliance Program Development, Testing, and Surveillance Compliance Policies and Procedures, Training, and Education Anti-Money Laundering, Fee Billing, and Personal Securities … Read More

Tina Mitchell Published in NSCP Currents
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Managing Director of Consultant Services, Tina Mitchell’s article, “2022 Investment Adviser Compliance Checklist in Preparation for Year-End,” was published in the November 2022 issue of the NSCP Currents Newsletter. In the article, Tina provides CCO’s with a detailed compliance checklist, … Read More

SEC Compliance Outreach Program: Recap of 2022 Seminar
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Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues.  The program was … Read More

Jason M. Ewasko
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Jason Ewasko Jason M. Ewasko Chief Development Officer Business Development and Marketing Strategy and Initiatives Client Engagement and Retention Strategic Initiatives and Planning Client Onboarding Program

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