Risk Management Updates
In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
Duty of Care and Loyalty – What Investment Advisers Need to Know
Proposed Rules and Amendments Regarding Cybersecurity for Advisers and Registered Funds
Compliance Evolution: Outsourcing Solutions for 2023
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 I don’t know about you, but many compliance professionals find regulatory examinations to be daunting and at times even a little scary. I don’t know anyone that enjoys exams or looks forward to a regulator looking under the hood and … 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
Secrets to 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 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry. 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.
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
Ep. 104: Industry Impacts of Regulation S-ID
Ep. 102: Compliance Priorities for Private Fund Advisers
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
October 16-19, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP June 1, 2023 | 9:00am PT Speakers: Michelle L. Jacko, CEO, Jason M. Ewasko, Chief Development Officer and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the … Read More March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
Michelle Jacko to Speak at 2023 NSCP National Conference
Live Webinar – RIA Best Practices for Complying with the Proposed New Cyber Rule
RCW Webinar Featuring CEO Michelle Jacko