CEO Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter. In the article, Michelle discusses what change management is, common issues that can arise due to change, and addresses … Read More
Senior Compliance Consultant Janice Powell’s article, “Converting Critical Enterprise Risks into a Usable Risk Matrix,” was published in the Journal of Financial Compliance, Volume 5 Number 4. In the featured text, she discusses key elements in developing a risk management … Read More
At the onset of the pandemic in early 2020, firms were forced to pivot quickly into a remote working environment. While business continuity plans had been repeatedly tested for a shift in location from the primary location, no one understood … Read More
Alexandria Hutchinson Alexandria Hutchinson Compliance Associate Email and Correspondence Reviews Regulatory Filings, such as Form U4, U5 and 13F, 13H Compliance Program Testing Investment Adviser, Broker-Dealer, and Investment Company Compliance
On episode 99 of the CCO Buzz, Sr. Compliance Consultant and Technology Specialist Ji Kim discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
October 17-19, 2022 | NSCP National Conference | Speakers: Michelle L. Jacko, CSCP, CEO and Janice Powell, MBA, IACCP®, Sr. Compliance Consultant
The implementation of technology has become an integral component in the administration of a compliance program. Gone are the days of maintaining hardcopies in filing cabinets and conducting manual reviews of compliance tests. Similar to the adoption of technology in … Read More
On episode 98 of the CCO Buzz, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2] The most reoccurring are violations … Read More
Sr. Compliance Analyst Christopher Hufty and Sr. Compliance Consultant Janice Powell’s article, “Setting the Tone from the Top: Getting Executive Buy-In,” was published in the June 2022 edition of the National Society of Compliance Professionals’ Currents newsletter. The article takes a look … Read More