Risk Management Updates
The U.S. Securities and Exchange Commission (“SEC”) adopted Regulation S-P on November 13, 2000,[1] which is designed to govern the use and protection of consumer non-public personal data by covered financial institutions.[2] The SEC requires, among others, registered investment advisers … Read More The U.S. Securities and Exchange Commission (“SEC”) recently released the list of examination priorities for their 2025 fiscal year[1]. In their release, the SEC stated that their goal for issuing the list to coincide with the beginning of their fiscal … Read More As the new year approaches, now is a crucial time of year for investment advisers to ensure that their compliance programs are up to speed. Recent Risk Alerts and examination findings by the Securities and Exchange Commission or the “SEC,” … Read More
Understanding Recent Amendments to Regulation S-P
Important Takeaways for Investment Advisers from the SEC’s 2025 Exam Priorities List
2024 Year-End Checklist: Compliance Preparation for Investment Advisers
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
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
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 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
Michelle Jacko to Speak at Schwab IMPACT 2024
Michelle Jacko to Speak at 2024 NSCP National Conference
Michelle Jacko to speak at the 2024 Raymond James EMPOWER Conference