Schwab IMPACT 2023 | How to Comply with the Latest SEC Rules and Prepare for Year End
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO
Update on State Adoption of NASAA’s IAR CE Model Rule
Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the … Read More
Raymond James Conference Features Michelle Jacko
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
Private Fund Investment Considerations
For investment professionals, there are a seemingly endless array of rules and regulations to consider when reviewing a client’s existing investments and considering new investments to recommend. In this month’s Risk Management Update, we take a look at a few … Read More
Experiences from FINRA Disciplinary Review Panels
“Familiarity breeds contempt” It’s an old saying that proves itself relevant again and again. When looking over the headlines or through the trade publication emails that fill our inboxes, even the most casual observer can find examples of someone whose … Read More
Conflicts of Interest Rule | Disclosures | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
Duty of Care and Loyalty – What Investment Advisers Need to Know
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
Live Webinar – RIA Best Practices for Complying with the Proposed New Cyber Rule
June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More
Compliance Evolution: Outsourcing Solutions for 2023
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
How to Start Aligning Your C-Suite with Compliance
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
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
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.