Risk Management Updates
It’s one of those scenarios made for film or television: there you are, sitting in your office, minding your own business. All of your firm’s personnel have submitted their quarterly attestation certifications on time and you just completed some procedural … Read More Advisers, it’s time to prepare! As of September 4, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has adopted a rule that will deem certain investment advisers, including ERAs, as “financial institutions” and require implementation of … Read More If you’re intrigued by how the biggest players in finance reveal their stock moves, you’ll want to pay attention to Form 13F. This quarterly filing, mandated by the Securities and Exchange Act of 1934 (“1934 Act”), Section 13(f), requires institutional … Read More
Understanding How a Mock Exam Can Protect Your Advisory Business
Anti-Money Laundering Program Considerations for Advisers
The SEC’s Eye on Form 13F: What You Need to Know
Blog
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 It should come as no surprise that many compliance professionals, no matter how seasoned, find regulatory examinations to be daunting and at times even a little scary. In our experience, we don’t typically hear that compliance officers enjoy the examination … Read More At Core Compliance, we encourage our clients to build a culture of compliance and to set the “tone from the top.” This is, of course, common practice in the financial services industry, but recently we were asked, “what happens after … Read More
How to Start Aligning Your C-Suite with Compliance
Tips for Handling Regulatory Examinations: #1 – Tone from the Top
Building a Culture of Compliance Through Governance
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 102 of the CCO Buzz podcast, Sr. Compliance Consultant Maggie Tavares joins us to talk about recent Risk Alerts focused on Private Fund Advisers. On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
Ep. 102: Compliance Priorities for Private Fund Advisers
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
Publications
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 Managing Director of Consultant Services, Tina Mitchell’s article, “2022 Investment Adviser Compliance Checklist in Preparation for Year-End,” was published in the November 2022 issue of the NSCP Currents Newsletter. In the article, Tina provides CCO’s with a detailed compliance checklist, … Read More
Off-Channel Communication: How to Comply with Regulatory Expectations
Michelle Jacko Published in Industry White Paper – Legal and Regulatory Considerations for Going Independent
Tina Mitchell Published in NSCP Currents
Events
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko We are excited to announce that Michelle L. Jacko will be speaking at the 2024 National Society of Compliance Professionals (NSCP) Annual National Conference, from October … Read More October 27- 30, 2024 | 2024 Raymond James EMPOWER Conference | Chicago, IL | Speaker: Michelle L. Jacko, CSCP, CEO We are excited to announce that CEO Michelle L. Jacko will be back at this year’s EMPOWER Conference hosted … Read More September 19, 2024 | 2024 Schwab Fall Compliance Update | Virtual | Speaker: Michelle L. Jacko, CSCP, CEOMichelle Jacko to Speak at 2024 NSCP National Conference
Michelle Jacko to speak at the 2024 Raymond James EMPOWER Conference
Michelle Jacko to Speak at the Schwab 2024 Fall Compliance Update