By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.
March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, CSCP, CEO
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
CEO Michelle L. Jacko‘s article, “Legal and Regulatory Considerations for Going Independent,” has been published as an industry white paper in conjunction with Charles Schwab & Co., Inc. The article outlines in 12 steps key factors for RIA’s who are … Read More
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
On Episode 102 of the CCO Buzz podcast, Sr. Compliance Consultant Maggie Tavares joins us to talk about recent Risk Alerts focused on Private Fund Advisers.
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 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