Ep. 102: Compliance Priorities for Private Fund 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.
Investment Adviser | Regulatory Examinations | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC Compliance Outreach Program: Recap of 2022 Seminar
Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues. The program was … Read More
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
Compliance Program Enhancements Mandated for Private Fund Advisers
$18 trillion in private fund assets is managed by 35% of all SEC-registered investment advisers which is a notable 70% increase from the prior five years. To that end these advisers unfortunately are riddled with many compliance issues observed by … Read More
3 Social Media Considerations for Your Firm
With the implementation deadline of the new SEC Marketing Rule fast approaching, there are many factors investment advisory firms need to consider. Social media has become a powerful marketing tool for investment advisors to put themselves in front of more … Read More
2022 Investment Adviser Compliance Checklist in Preparation for Year-End
It’s the time of year again where Chief Compliance Officers start thinking about the compliance tasks that need to be completed by year-end, and there’s a lot to think about this year. Importantly, 2022 carries compliance deadlines for two major … Read More
Nominate Today: 2022-2023 Compliance Awards
In partnership with Starkweather and Shepley, the team at Core Compliance & Legal Services, Inc. SM (“Core Compliance”) is excited to announce this year’s Annual Compliance Awards. After last year’s success and growing interest, we’ve decided to enhance our awards … Read More
Michelle Jacko Published in NSCP Currents
CEO Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter. In the article, Michelle discusses what change management is, common issues that can arise due to change, and addresses … Read More
Supervision in a Pandemic and Post-Pandemic World
At the onset of the pandemic in early 2020, firms were forced to pivot quickly into a remote working environment. While business continuity plans had been repeatedly tested for a shift in location from the primary location, no one understood … Read More
Episode 99: Using Compliance Technology to Manage Books and Records
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.