NSCP Regulatory Interchange with the SEC – Spring 2018
Join us at the NSCP Regulatory Interchange with the SEC at the San Francisco Schwab Center on May 4th, 2018.
2018 Investment Adviser Compliance Conference – Discussions with the SEC
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More
IAA Compliance Conference 2018: Effective Strategies and Best Practices
Speaker: Michelle Jacko
Form ADV: Practical Tips on Completing the Newly Revised SEC Registration Form
Since the new Form ADV compliance requirements came into effect on October 1, 2017, many investment advisers are still unsure as to what information they’re required to update and which part of the Form ADV they need to focus on.
2017 NSCP National Conference
Michelle Jacko will be presenting, “Identifying and Managing Conflicts of Interest – With or Without the Rule” at the NSCP National Conference on October 16, 2017, from 1:55PM – 3:10PM (ET), in Washington, D.C.
Top 4 Tips for Getting the Most Out of IA Compliance: The Full 360 Degree View West
The first Core Compliance/ IA Watch Conference is taking place this November 2nd, just a few short weeks away. For conference attendees here on the west coast, IA Watch is a chance to see the major west coast industry leaders, … Read More
NSCP: The Regulators and Panels to See at the Conference
The national conference put on by the National Society of Compliance Professionals is one of the best in the industry….and it is coming up – fast. It’s not too late to register, and you can do so by clicking here.
2017 IA Watch & Core Compliance West Coast Regional Conference
We’re excited to announce that Core Compliance, in conjunction with IA Watch, is co-sponsoring the upcoming conference, IA Compliance: The Full 360° View, West Critical and Timely Insight for Investment Adviser Compliance Professionals.
Annual South Florida FPA Conference
Core Compliance will be presenting on “Cybersecurity – How to Protect Your Business” at the Annual South Florida FPA Conference in Boca Raton, FL, on April 27-28, 2017.