On March 12, 2019, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management published a letter addressed to the Investment Adviser Association seeking input from interested parties regarding custody issues related to: Investment adviser and custodial trading practices that … Read More
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 2,” was featured in the April 2019 edition of the National Society of Compliance Professionals’ Currents.
Our CEO Michelle Jacko’s presentation from the Schwab IMPACT 2018 Conference was featured and was based in the article, “SEC Key Topics – and How to Prepare for an Examination,” which is available among Charles Schwab’s Adviser Services.
Our CEO Michelle Jacko’s article, “How Risk Alerts Can Help You Prepare for Your Next Examination,” was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.
In late February charges of fraud by the SEC against a broker-dealer and its transfer agent were the latest in a series of SEC enforcement actions against parties engaged in the formation and trading of “blank check” companies.
BB&T Securities, a brokerage subsidiary of BB&T Corp., has settled with the Securities and Exchange Commission (SEC) over charges that a firm it had acquired misled clients and overcharged them for advisory services.
Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm.
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 1,” was featured in the March 2019 edition of the National Society of Compliance Professionals’ Currents.
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.