October 26-29, 2025 | NSCP National Conference | Orlando, FL | Speaker: Michelle L. Jacko We are excited to announce that Michelle L. Jacko will be speaking at the 2025 National Society of Compliance Professionals (NSCP) Annual National Conference, in … Read More
Under Rule 206(4)-7 of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are required to conduct an annual review of their compliance program[1]. This review is designed to evaluate whether the … Read More
As the regulatory landscape continues to evolve, investment advisory and broker-dealer professionals increasingly rely on technology and third-party vendors to meet expanding compliance obligations. Outsourcing compliance functions remains a growing trend, with firms finding specialized expertise, cost efficiency, and enhanced … Read More
Core Compliance’s recent article, “2024 Year-End Checklist: Compliance Preparation for Investment Advisers,” was published in the November 2024 issue of the NSCP Currents Newsletter. In the article, we provide CCO’s with a detailed compliance checklist, along with compliance steps to … Read More
As the new year approaches, now is a crucial time of year for investment advisers to ensure that their compliance programs are up to speed. Recent Risk Alerts and examination findings by the Securities and Exchange Commission or the “SEC,” … Read More