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

Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs

A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives.  For some, we are indefinitely “sheltered in” and are working remotely where possible.  Others must take care of loved ones and those who have special needs (due to illness,...

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Featured Publication

NSCP Currents - Best Execution Considerations for Advisers

Lead Sr. Compliance Consultant Tina Mitchell's article, "Best Execution Considerations for Advisers," was featured in the November 2019 edition of the National Society of Compliance Professionals' Currents.  The article discusses consideration factors for seeking best execution, testing protocols...

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Risk Management Updates

Forms ADV and CRS – Important Things You Need to Know

Update: (March 16, 2020) Since the original publishing of this Risk Management Update in February 2020, many details have changed in the securities industry due to the coronavirus (COVID-19) pandemic. Please find additional updated information regarding your Form ADV filings below.

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The Pros and Cons of Outsourcing Your Chief Compliance Officer (“CCO”)

What is “Outsourcing”? Outsourcing is defined as a way to obtain (goods or a service) from an outside or foreign supplier, especially in place of an internal source. In today’s market, many organizations choose to outsource specific every day critical tasks to outside experts. A prime example:  an...

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Gifts & Business Entertainment Conflicts - The Ongoing Challenge for Broker-Dealers

Managing Conflicts Managing a broker dealer’s gifts and business entertainment conflicts can be an ongoing challenge for even the best compliance team. This task can become even more challenging as the holidays approach. You want to thank your clients for their business, but you should also remind...

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Publications

NSCP Currents - Year End Compliance Checklist Considerations for Investment Advisers

Lead Sr. Compliance Consultant Tina Mitchell's article, "Year End Compliance Checklist Considerations for Investment Advisers," was featured in the October 2019 edition of the National Society of Compliance Professionals'  Currents.

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Performing Due Diligence and Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II

CEO Michelle Jacko, Robert Boeche, Tina Mitchell, and Craig Watanabe, wrote the article, "Performing Due Diligence and Oversight of Third-Party Service Providers," which was published in the 2017 edition of Wolters Kluwer's Modern Compliance Volume II. 

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SD Voyager - Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown

Our CEO Michelle Jacko was featured in an SD Voyager article titled "Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown" on May 23, 2019. In the article Michelle participates in a Q&A interview where she discusses her journey in compliance and the path to building Core...

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