Risk Management Updates
The Securities and Exchange Commission (SEC) requires investment advisers to meet certain due diligence requirements before hiring a service provider to perform specific investment advisory services or functions. It’s imperative that RIAs establish and maintain robust vendor due diligence and … Read More Making the leap to independence as a financial adviser is a bold and exciting decision—one that holds the promise of greater autonomy, the ability to shape your own firm culture, and the potential for increased long-term growth. But as empowering … Read More Even though there is no specific rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) for registered investment advisers to seek best execution when trading on behalf of their clients, most investment advisers understand that this … Read More
Third-Party Vendor Due Diligence – A Guide for Registered Investment Advisers
Considerations for Starting your own Investment Advisory Practice
Investment Adviser Best Execution – The Importance of Reviewing All Relevant Factors and Costs
Blog
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 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
Navigating Form ADV with Ease – Reminders for Your Annual Filing
How to Start Aligning Your C-Suite with Compliance
Tips for Handling Regulatory Examinations: #1 – Tone from the Top
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
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
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 More 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
Michelle Jacko to Speak at 2025 Investment Adviser Compliance Conference
Michelle Jacko to Speak at Schwab IMPACT 2024
Michelle Jacko to Speak at 2024 NSCP National Conference