Blog
Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More The Financial Industry Regulatory Authority (FINRA) has changed some of its rules on continuing education (CE) to help registrants who have stepped away from the industry retain their qualification for up to five years. By enrolling and keeping current on … Read More
What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers
SEC Issues Risk Alert On Investment Adviser MNPI and Code of Ethics Issues
FINRA’s New Maintaining Qualifications Program adds Career Flexibility for Advisors
CCO Buzz Podcast
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities. On episode 95 of the CCO Buzz podcast, we discuss the the growing focus of regulators on cybersecurity! On episode 94 of the CCO Buzz Podcast, Sr. Compliance Consultant Janice Powell joins us to discuss developing a usable Risk Matrix as an integral aspect of your compliance program!
Episode 96: How The 2022 SEC Exam Priorities will Affect Your Firm
Episode 95: How Regulators Are Growing Their Focus on Cybersecurity
Episode 94: Developing a Risk Matrix for Your Compliance Program
Publications
CEO Michelle Jacko’s article, “Meeting Current and Future Challenges of Serving Aging Clients,” was published in the February 2022 issue of Charles Schwab’s Compliance Review newsletter. In the article, Michelle reviews regulations that apply to investment advisors servicing seniors, including … Read More Sr. Compliance Consultant Janice Powell was featured in a Barron’s Advisor article titled “Form ADV Mistakes Can Put Advisors in Hot Water With Regulators. How to Avoid Them.” on January 6, 2022. Head to the article to learn about the importance of … Read More CEO Michelle Jacko was featured in a Barron’s Advisor article titled “8 Smart Compensation Practices for Wealth Management Firms,” on January 4, 2022. “People want to have more say in the direction of their career and in the direction of the … Read More
Meeting Current and Future Challenges of Serving Aging Clients
Form ADV Mistakes Can Put Advisors in Hot Water With Regulators. How to Avoid Them.
8 Smart Compensation Practices for Wealth Management Firms
Events
RightSize Solutions Cyber-Chat Webinar | 1:00-2:00pm PT | April 27, 2022 | Speaker: Janice Powell Schwab Compliance Web Event | March 31, 2022 | Speakers: Michelle L. Jacko 2022 Regulatory Compliance Watch Webinar | March 22, 2022 | Speakers: Michelle L. JackoCyber-Chats Webinar – Understanding the Value of Cybersecurity Compliance and Insurance
Charles Schwab Virtual Educational Event – SEC Hot Topics
Regulatory Compliance Watch: SEC’s New IA Ad Rule