Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 1,” was featured in the March 2019 edition of the National Society of Compliance Professionals’ Currents.
Our CEO Michelle Jacko’s article, “Legal Risk Management Tip: Common Compliance Violations Seen in 2018,” was featured in the January/February 2019 edition of Wolters Kluwer’s Practical Compliance Risk Management for the Securities Industry.
Featured in the December 2017 edition of the National Society of Compliance Professionals (“NSCP”) Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, provides guidance on compliance and what you should be thinking about to prepare for 2018.
Featured in the July 2017 edition of the National Society of Compliance Professionals (“NSCP”) Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, describes the essentials for advisors to prepare for the upcoming changes to Form ADV.
September/October 2016
Core Compliance℠ featured in NSCP’s Currents, the April 2015 Special Reprint edition. In this article, we go in depth in an article detailing the current landscape of anti-money laundering. He reviews the regulations, the duties of investment advisers, industry trends, … Read More
