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

How to Prepare for a State Exam: Tips from a Former Regulator

Investment professionals registered with one or more states have two basic regulatory challenges: managing differences in securities regulations from one jurisdiction to another and affording the resources needed to remain in compliance with the required regulations. Both challenges can be...

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Featured Publication

Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?

CEO Michelle Jacko's article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA's Newsletter. In the article, Michelle discusses the evolving SEC guidance as it relates to social media, as well as compliance...

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Risk Management Updates

Key Elements of the New Marketing Rule

On December 22, 2020, the Securities and Exchange Commission (“SEC”) released the final rule that will govern investment adviser advertisements and payments to solicitors.[1] Deemed by the securities industry as the “New Marketing Rule”, its main purpose is to modernize the current advertising and...

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The Many Benefits from Managing Compliance Through Compliance Technology

Using technology has become a very integral part of today’s business services, especially in the financial industry. Due to the changes in both state and federal securities regulations over the last few years, the need for financial firms to have compliance technology has nearly become a necessity.

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The New ERISA Exemption – What Financial Professionals Need to Know

The Employee Retirement Income Security Act of 1974, as amended (“ERISA”), contains provisions that restrict fiduciaries to retirement plans from engaging in certain activities. These prohibited activities include, among other things, self-dealing, implementing principal transactions,[1] and...

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Publications

NSCP Currents: Why Advisory Fees and Expenses Remain a Continued Regulatory Focus

CEO Michelle Jacko's article, "Why Advisory Fees and Expenses Remain a Continued Regulatory Focus," was published in the January 2021 edition of the National Society of Compliance Professionals' Currents newsletter.

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What You Need to Know About M&As and Business Transitions

CEO  Michelle Jacko's article, "What You Need to Know About M&As and Business Transitions," was published in the February 2021 issue of Lawyer Monthly Magazine.  In the article, Ms. Jacko provides readers with pivotal considerations for Mergers and Acquisitions and Business Transitions that she has...

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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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