Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody. It’s … Read More
In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
We understand our clientsat their core Our dedicated team of compliance professionals will work closely with you to understand the unique business and compliance needs of your business to help you grow.
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO
Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the … Read More
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
Outsourced Compliance Solutions Basic Package Compliance Support You may have the manpower to handle most of your compliance internally – but any firm can benefit from a second set of eyes. Our Basic Package provides essential compliance maintenance services to … Read More
Outsourced Compliance Solutions Core Package Fundamental Compliance Support Looking for a more in-depth approach to compliance consulting services? Our Core Package is geared toward firms with a CCO looking for a robust support package to enhance an existing compliance program. … Read More
Outsourced Compliance Solutions Deputy CCO Comprehensive Support Our Deputy CCO Package is designed to relieve your Chief Compliance Officer of some of the more significant and time-consuming compliance tasks by partnering with a trusted, outsourced team of compliance professionals. We … Read More