Michelle Jacko to Speak at 2022 NSCP National Conference
October 17-19, 2022 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP
Be in the Know: SEC Examination Priorities (Part 1)
Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko
Timely Takeaways from Zoom’s Consent Agreement with the FTC over Data Management Practices
Firms should take note that information security will remain an area of intense focus this year for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (the Division or EXAMS), formerly known as the Office of Compliance Inspections and … Read More
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: COVID-19
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must-read for trendspotters who want to know what … Read More
Episode 81: Preparing for Year-End
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
Help Protect Client Accounts by Planning, Practicing and Promoting Proper Cyber Hygiene
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More
NSCP Webinar: Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond
August 4, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Core Compliance and Nicole Dragoo
NSCP National Conference 2020 | Creating Effective Oversight Structures for Investment Advisers
October 20, 2020 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP, CEO
Episode 75: Performing Due Diligence on Service Providers during COVID-19
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
Episode 74: Supervision Considerations under the COVID – 19 Pandemic
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.