Risk Management Updates
Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody. It’s … Read More In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
All Aboard the Custody Cruise – Understanding the Custody Rule
2023 Investment Adviser Compliance Checklist in Preparation for Year-End and Beyond
The Safekeeping of Client Assets
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
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 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
Schwab IMPACT 2023 | How to Comply with the Latest SEC Rules and Prepare for Year End
Raymond James Conference Features Michelle Jacko
Michelle Jacko to Speak at 2023 NSCP National Conference