Risk Management Updates
By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues. The program was … Read More $18 trillion in private fund assets is managed by 35% of all SEC-registered investment advisers which is a notable 70% increase from the prior five years. To that end these advisers unfortunately are riddled with many compliance issues observed by … Read More
Risk Alert Review: Elements of Regulation S-ID that Impact the Industry
SEC Compliance Outreach Program: Recap of 2022 Seminar
Compliance Program Enhancements Mandated for Private Fund Advisers
Blog
As adults ages 65 years and up have become the fastest growing demographics in America, they now make up the majority population of American investors. Due to the nature and vulnerability of seniors, there is renewed interest for Financial Professionals … Read More With the implementation deadline of the new SEC Marketing Rule fast approaching, there are many factors investment advisory firms need to consider. Social media has become a powerful marketing tool for investment advisors to put themselves in front of more … Read More In partnership with Starkweather and Shepley, the team at Core Compliance & Legal Services, Inc. SM (“Core Compliance”) is excited to announce this year’s Annual Compliance Awards. After last year’s success and growing interest, we’ve decided to enhance our awards … Read More
Senior Safe Act: Understanding and Reporting Financial Exploitation
3 Social Media Considerations for Your Firm
Nominate Today: 2022-2023 Compliance Awards
CCO Buzz Podcast
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar. 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. 103: 2022 SEC Compliance Outreach Program Overview
Ep. 102: Compliance Priorities for Private Fund Advisers
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
Publications
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 We are happy and proud to announce that CEO Michelle L. Jacko has been included as a finalist for the 2022 SD 500 Awards by the San Diego Business Journal (“SDBJ”). According to SDBJ, the SD 500 Award, “focuses on San Diego County’s … Read More
Michelle Jacko Published in Industry White Paper – Legal and Regulatory Considerations for Going Independent
Tina Mitchell Published in NSCP Currents
Michelle Jacko Selected by SDBJ for SD 500 Awards
Events
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, CSCP, CEO October 17-19, 2022 | NSCP National Conference | Speakers: Michelle L. Jacko, CSCP, CEO and Janice Powell, MBA, IACCP®, Sr. Compliance Consultant
Red Oak Compliance Conference Featuring Michelle Jacko
Michelle Jacko to Speak for 2023 Investment Adviser Compliance Conference
Michelle Jacko and Janice Powell to Speak at 2022 NSCP National Conference