Anna Schnitkey, Author at Core Compliance

2024 Year-End Checklist Published in NSCP Currents

December 10, 2024 by Anna Schnitkey

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

2024 Year-End Checklist: Compliance Preparation for Investment Advisers

October 22, 2024 by Anna Schnitkey

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