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

Cybersecurity Testing as Part of the Annual Review

Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity remains a top...

Read More

Featured Publication

Forbes Council - Creating a Strong Culture of Compliance

President Tito Pombra's article was featured in Forbes Council  (blog) titled "Creating a Strong Culture of Compliance" published July 8, 2019. In the article Mr. Pombra discusses what it means for a firm to have an established "tone at the top", as well as how to create and maintain a culture of...

Read More

Risk Management Updates

Broker-Dealer Annual Compliance Meeting Best Practices

Planning for the Task As the summer solstice approaches, now is a good time for broker-dealer compliance personnel to begin planning for the annual compliance meetings (“ACMs”), required under FINRA Rule 3110(a)(7).  Specifically, each registered representative and registered principal of a...

Read More

Creating A Strong Culture of Compliance

Every registered investment adviser and employees of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is having a strong culture of compliance...

Read More

Best Execution Considerations for Investment Advisers

Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients.  In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must also perform and document...

Read More

View All

Publications

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...

Read More

NSCP Currents - Tips on How to Prepare For Your Next Examination: Part 2

Our CEO Michelle Jacko's article, "Tips on How to Prepare For Your Next Examination: Part 2," was featured in the April 2019 edition of the National Society of Compliance Professionals' Currents.

Read More

Charles Schwab: SEC Key Topics - How to Prepare for an Examination

Our CEO Michelle Jacko's presentation from the Schwab IMPACT 2018 Conference was featured and was based in the article, "SEC Key Topics - and How to Prepare for an Examination," which is available among Charles Schwab's Adviser Services.

Read More

View All