Episode 82: Employee Training Tips for Year-End
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: No One is Above the Law
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
Annual Compliance Training for Advisers & Broker-Dealers
As the year winds down, there are several items you’ll be focused on completing. One that belongs on the list is confirming that adequate compliance training has been provided to your personnel. Whether you are a registered investment adviser or … Read More
SDBJ Selects CEO Michelle Jacko for SD 500 Influential Business Leaders 2020
CEO Michelle L. Jacko has been selected for the “San Diego 500 Influential Business Leaders” list by the San Diego Business Journal. The SD 500 is a through list of important leaders and executives in the San Diego business community, and includes those … Read More
Ask the Experts: Smaller Firms Up to $10 Billion RAUM
IAA’s Compliance Workshop 2020 | December 3, 2020 @ 9:30am to 1:00pm PT | Speakers: Michelle L. Jacko
SDBJ Honors Michelle Jacko as Finalist for Business Women of the Year Awards 2020
CEO Michelle L. Jacko has been honored as a finalist for the “Business Women of the Year Awards 2020” by the San Diego Business Journal. According to the San Diego Business Journal, this award “recognizes dynamic women business leaders who have contributed significantly to … Read More
CEO Michelle Jacko Selected as a Finalist for SDBJ’s Leaders in Law Awards
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: A Banner Year for Whistleblowers
In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies of all businesses and the team at Core Compliance … Read More
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: COVID-19
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must-read for trendspotters who want to know what … Read More
NSCP Currents: How to Prepare for an SEC Cybersecurity Exam
Core Compliance’s article, “How to Prepare for an SEC Cybersecurity Exam,” was published in the October 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article discusses the steps your firm can take to prepare for and thrive during … Read More