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
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
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
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
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
Advisers, it’s time to prepare! As of September 4, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has adopted a rule that will deem certain investment advisers, including ERAs, as “financial institutions” and require implementation of … Read More
If you’re intrigued by how the biggest players in finance reveal their stock moves, you’ll want to pay attention to Form 13F. This quarterly filing, mandated by the Securities and Exchange Act of 1934 (“1934 Act”), Section 13(f), requires institutional … Read More
June 13, 2024 | InvestmentNews – goRIA MasterClass | Speaker: Michelle L. Jacko, CSCP, CEO
The U.S. Securities and Exchange Commission (“SEC”) has been very busy over the last couple of years issuing new regulations that apply to investment advisers. For several of these, it is apparent in the name that it applies to investment … Read More
As the annual ADV filing deadline approaches, advisors must prioritize updating their Form ADV to ensure compliance with regulatory standards and uphold the principles of loyalty and care towards clients. In accordance with federal and state securities regulations, both SEC … Read More