Michelle Jacko to Speak at 2023 NSCP National Conference
October 16-19, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
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
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.
Events | Investment Adviser | Performance Advertising | Regulatory Examinations | Securities and Exchange Commission (SEC)
RCW Webinar Featuring CEO Michelle Jacko
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
Secrets to Handling Regulatory Examinations: #1 – Tone from the Top
I don’t know about you, but many compliance professionals find regulatory examinations to be daunting and at times even a little scary. I don’t know anyone that enjoys exams or looks forward to a regulator looking under the hood and … Read More
Ep. 104: Industry Impacts of Regulation S-ID
On Episode 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry.
Michelle Jacko to Speak for NSCP Educational Seminar
March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, CSCP, CEO
Red Oak Compliance Conference Featuring Michelle Jacko
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO
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