IAA Investment Adviser Compliance Conference 2020
March 5-6, 2019 | Washington, D.C. | Speaker: Michelle Jacko, CSCP
What You Need to Know About M&As and Business Transitions
CEO Michelle Jacko’s article, “What You Need to Know About M&As and Business Transitions,” was published in the February 2021 issue of Lawyer Monthly Magazine. In the article, Ms. Jacko provides readers with pivotal considerations for Mergers and Acquisitions and Business Transitions … Read More
The Pros and Cons of Outsourcing Your Chief Compliance Officer (“CCO”)
What is “Outsourcing”? Outsourcing can be defined as the act of contracting certain work or services out to a third party, typically as a replacement for conducting that service internally. In today’s market, many organizations choose to outsource specific, everyday … Read More
Orion’s Eric Clarke Examines Issues Facing RIAs in Financial Planning’s Lightning Round
Eric Clarke, chief executive officer for Orion Advisor Solutions (Orion), was interviewed for Financial Planning’s Lightning Round. In the interview, Clarke describes the greatest threat to independent advisors as changes occur in the regulatory landscape. Clarke describes utilizing technology … Read More
Episode 64: GIPS 2020 – Are You Ready?
On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020.
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
Charles Schwab Corp. to Purchase TD Ameritrade for $26 billion
Charles Schwab Corp. announced it has agreed to purchase TD Ameritrade Holding Corp. for $26 billion in an all-stock transaction, combining two of the largest custody service providers to independent financial advisers. After the merger, the combined firm will have … Read More
Episode 63: Cybersecurity Training for Employees
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.