Risk Management Updates
Another year in compliance is officially in the books — and yes, that’s worth celebrating. While 2025 did not introduce sweeping new rules, it reinforced a familiar reality for advisory firms: ongoing obligations still require ongoing effort. Custody audits, annual … Read More In November, the SEC released their 2026 Examination Priorities List,[1] which for investment advisers reflect a notable return to foundational principles, with a strong emphasis on fiduciary duty and standards of conduct, accurate disclosures, and the overall strength of a … Read More The digitization of communication continues with fervor. For the financial industry, this is parallelled by the continued development of associated rules and requirements as regulators work to stay in lockstep with technological advancements. As new platforms and methods of communication … Read More
From Policy to Practice: RIA Compliance Expectations for 2026
Back to Basics: Understanding the 2026 SEC Exam Priorities
Performing Electronic Communications Reviews: Beyond Key-Word Searches
Blog
On July 21, 2025, FinCEN announced its intention to postpone the effective date of the final rule requiring Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) programs and Suspicious Activity Report (SAR) filing for registered investment advisers and exempt reporting advisers … Read More Do you know what time it is? That’s right, it’s time to begin your ADV updates once again! For those firms with a fiscal year-end of December 31, it is time to start addressing the required Annual Updating Amendment of … Read More Whether you’re a seasoned compliance professional or just getting started in the industry, one of the biggest hurdles you may encounter is aligning senior management with compliance. At Core Compliance & Legal Services, Inc. (“Core Compliance”), we often hear “if … Read More
FinCEN Signals Two-Year Delay for Investment Adviser AML Rule
Navigating Form ADV with Ease – Reminders for Your Annual Filing
How to Start Aligning Your C-Suite with Compliance
CCO Buzz Podcast
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers. On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers. On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
Episode 99: Using Compliance Technology to Manage Books and Records
Publications
Core Compliance’s recent article, “2024 Year-End Checklist: Compliance Preparation for Investment Advisers,” was published in the November 2024 issue of the NSCP Currents Newsletter. In the article, we provide CCO’s with a detailed compliance checklist, along with compliance steps to … Read More CEO Michelle Jacko’s article, “Off-Channel Communication: How to Comply with Regulatory Expectations,” was published by SmartBrief in September 2024. In the article, Michelle discusses some of the recent enforcement actions related to off-channel communication, and considerations for investment managers … Read More CEO Michelle L. Jacko‘s article, “Legal and Regulatory Considerations for Going Independent,” has been published as an industry white paper in conjunction with Charles Schwab & Co., Inc. The article outlines in 12 steps key factors for RIA’s who are … Read More
2024 Year-End Checklist Published in NSCP Currents
Off-Channel Communication: How to Comply with Regulatory Expectations
Michelle Jacko Published in Industry White Paper – Legal and Regulatory Considerations for Going Independent
Events
October 26-29, 2025 | NSCP National Conference | Orlando, FL | Speaker: Michelle L. Jacko We are excited to announce that Michelle L. Jacko will be speaking at the 2025 National Society of Compliance Professionals (NSCP) Annual National Conference, in … Read More March 5-7 | 2025 Investment Adviser Compliance Conference | Washington, D.C. | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s IAA Investment Adviser Compliance Conference! The event will take place from March … Read More November 19-21, 2024 | Schwab IMPACT 2024 | San Francisco, CA | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s Schwab IMPACT Conference! Schwab IMPACT 2024 will take place from November … Read MoreMichelle Jacko to Speak at 2025 NSCP National Conference
Michelle Jacko to Speak at 2025 Investment Adviser Compliance Conference
Michelle Jacko to Speak at Schwab IMPACT 2024