Non-Public Form N-PORT: Changes to Filing Date
Keeping up with the latest changes to filing requirements is a critical element of compliance at any firm.
NSCP Currents – Tips on How to Prepare For Your Next Examination: Part 1
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.
Episode 42: Succession Planning Considerations
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.
Your Compliance Arsenal: Essential Resources for Compliance in 2019
Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More
Episode 41: Best Practices Regarding the SEC’s Share Class Selection Disclosure Initiative
We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.
2019 Annual Shareholders Service Group Conference
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
ICI Mutual Fund Compliance Programs Conference
May 2, 2019 | Speaker: Core Compliance
Schwab Compliance Solutions 2019 National Conference
April 3-5, 2019 | “Best Practices for Managing Conflicts of Interest” | Speaker: Michelle Jacko, CSCP
The CFTC Division of Market Oversight Compliance Branch Releases Inaugural Examination Priorities
On February 12, 2019, the Commodity Futures Trading Commission (CFTC) released its inaugural examination priorities for its Division of Market Oversight (DMO) Compliance Branch, the Division of Swap Dealer & Intermediary Oversight (DSIO), and the Division of Clearing & Risk … Read More