October 16-19, 2023  | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP

In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More

June 1, 2023 | 9:00am PT Speakers: Michelle L. Jacko, CEO, Jason M. Ewasko, Chief Development Officer and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the … Read More

In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More

As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More

Whether you’re a seasoned compliance professional or just getting started in the industry, one of the biggest hurdles you may encounter is aligning senior management with compliance. At Core Compliance & Legal Services, Inc. (“Core Compliance”), we often hear “if … Read More

On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.

March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO

Welcome to the Supplemental Hub   You’ve attended the session, but now you want more information… Thank you for attending “Be in the Know: New SEC Priorities & How to Prepare in 2023” presented by Michelle L. Jacko, CSCP. The discussion … Read More

February 27 – March 2, 2023 | Orion Ascent Conference | Attendee: Jason Ewasko, Chief Development Officer