Risk Management Updates

Learn about the lastest changes in compliance and risk management for the financial industry.

Publications

View Core Compliance’s contributions to industry publications.

Latest Risk Management Update

Compliance Training: A Critical Component of Your Compliance Program

As the year is ending, we know that there are several items that you will be focused on completing. An important item that should be on your list, is confirming that adequate compliance training has been provided to your personnel.  Whether you are a registered investment adviser  or...

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Featured Publication

SDBJ Selects CEO Michelle Jacko for SD 500 Influential Business Leaders 2020

CEO Michelle L. Jacko has been selected for the "San Diego 500 Influential Business Leaders" list by the San Diego Business Journal.  The SD 500 is a through list of important leaders and executives in the San Diego business community, and includes those "who have founded or are running significant...

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Risk Management Updates

Preparing for Year-End – Investment Adviser Compliance Checklist

This year will certainly be one for the history books. The worldwide pandemic continues to impact our country and the way we live. For the financial industry, we have witnessed evolutions and changes of focus in regulatory examinations. 

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Dually Registered Firms: Steps for Performing an Efficient Annual Review and Gap Analysis

In accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Act”), as amended, an investment adviser (“RIA”) registered with the Securities and Exchange Commission (“SEC”)  is required to conduct an annual compliance review to assess the adequacy and effectiveness of the firm's...

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How to Prepare for a Cybersecurity Sweep Exam

Cybersecurity continues to be a top priority for the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations’ (“OCIE”), especially as the bulk of firms have had to shift to working remotely in light of COVID-19. Just in the past few months, OCIE has issued...

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Publications

SDBJ Honors Michelle Jacko as Finalist for Business Women of the Year Awards 2020

CEO Michelle L. Jacko has been honored as a finalist for the "Business Women of the Year Awards 2020" by the San Diego Business Journal.  According to the San Diego Business Journal, this award "recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces...

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CEO Michelle Jacko Selected as a Finalist for SDBJ's Leaders in Law Awards

  CEO Michelle Jacko has been selected as a finalist for the "Leaders in Law Awards 2020" by the San Diego Business Journal. Congratulations, Michelle!  

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NSCP Currents: How to Prepare for an SEC Cybersecurity Exam

Compliance Consultant Adam Stutz's article, "How to Prepare for an SEC Cybersecurity Exam," was published in the October 2020 edition of the National Society of Compliance Professionals' Currents newsletter. The article discusses the steps your firm can take to prepare for and thrive during a...

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