Risk Management Updates
At the onset of the pandemic in early 2020, firms were forced to pivot quickly into a remote working environment. While business continuity plans had been repeatedly tested for a shift in location from the primary location, no one understood … Read More The implementation of technology has become an integral component in the administration of a compliance program. Gone are the days of maintaining hardcopies in filing cabinets and conducting manual reviews of compliance tests. Similar to the adoption of technology in … Read More Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2] The most reoccurring are violations … Read More
Supervision in a Pandemic and Post-Pandemic World
Managing Books and Records Through Technology
Robo-Advisers are Not Immune from Compliance Failures
Blog
The U.S. Securities and Exchange Commission (“SEC”) has announced it has proposed to amend Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Investment Company Act”) requiring additional disclosures related to their Environmental Social and … Read More 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
Understanding the SEC Newly Proposed ESG Disclosure Requirements
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
CCO Buzz Podcast
On episode 99 of the CCO Buzz, Sr. Compliance Consultant and Technology Specialist Ji Kim discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring. On episode 98 of the CCO Buzz, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years. On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
Episode 99: Using Compliance Technology to Manage Books and Records
Episode 98: Robo-Advisers: Compliance Considerations and Regulatory Focus
Episode 97: Creating a Culture of Compliance by Setting the Tone at the Top
Publications
CEO Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter. In the article, Michelle discusses what change management is, common issues that can arise due to change, and addresses … Read More Senior Compliance Consultant Janice Powell’s article, “Converting Critical Enterprise Risks into a Usable Risk Matrix,” was published in the Journal of Financial Compliance, Volume 5 Number 4. In the featured text, she discusses key elements in developing a risk management … Read More Sr. Compliance Analyst Christopher Hufty and Sr. Compliance Consultant Janice Powell’s article, “Setting the Tone from the Top: Getting Executive Buy-In,” was published in the June 2022 edition of the National Society of Compliance Professionals’ Currents newsletter. The article takes a look … Read More
Michelle Jacko Published in NSCP Currents
Sr. Compliance Consultant Janice Powell’s Article Published by Journal of Financial Compliance
NSCP Currents – Setting the Tone from the Top: Getting Executive Buy-In
Events
October 17-19, 2022 | NSCP National Conference | Speakers: Michelle L. Jacko, CSCP, CEO and Janice Powell, MBA, IACCP®, Sr. Compliance Consultant 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
Michelle Jacko and Janice Powell to Speak at 2022 NSCP National Conference
Cyber-Chats Webinar – Understanding the Value of Cybersecurity Compliance and Insurance
Charles Schwab Virtual Educational Event – SEC Hot Topics