Episode 86: The New ERISA Exemption Rule
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More
NSCP Webinar: Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices
November 12, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Michelle L. Jacko and Robert Hille
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
IAA Investment Adviser Compliance Conference 2019
March 14, 2019 | Speaker: Michelle Jacko, CSCP
Episode 16: Senior$afe Act (Part 2)
CEO Michelle Jacko picks up where she left off on our two-part series covering the Senior Safe Act. In this segment, she covers the integral definitions, training requirements and other essential know-how regarding the reporting process, under the Senior Safe … Read More
Episode 15: Senior$afe Act (Part 1)
In this week’s episode, we have Core Compliance’s CEO Michelle Jacko diving into the complexities of the Senior Safe Act and proper protocols, to best prepare for an SEC examination.
Blog | Due Diligence | Investment Adviser | Securities and Exchange Commission (SEC) | Senior Investors
Educating Aging Investors – Millennial to Baby Boomer Generations
[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule. With over 20% of the U.S. population projected to be over the age of 65 by … Read More