Episode 14: Getting to Know Our Compliance Consultant
We introduce and get to know Core Compliance & Legal Services’ very own Compliance Consultant, who discusses his journey into compliance and provides tips to breaking into the industry.
Episode 13: Take-Aways from the OCIE Risk Alert on Advisory Fee Expense Issues
Michelle Jacko discusses key takeaways from the OCIE’s recent Risk Alert on Advisory Fee Expense Issues.
Episode 12: P & P Manuals and What to Know in Compliance for Q2
Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.
Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.