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 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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Featured Publication

NSCP Currents: State Advisers – Important Information to Prepare for a Regulatory Exam

Managing Director, Consultation Services Tina Mitchell's article, "State Advisers – Important Information to Prepare for a Regulatory Exam," was published in the July 2020 edition of the National Society of Compliance Professionals' Currents newsletter. In the article, Ms. Mitchell discusses...

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Risk Management Updates

Rule 38a-1 Compliance Programs for Registered Investment Companies

  Registered investment companies (“RIC”) are regulated entities subject to various securities laws. One main regulation is Rule 38a-1 under the Investment Company Act of 1940, as amended (“40 Act”), which requires a RIC to adopt and implement a compliance program (“Compliance Program Rule”).[1] In...

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Registered Investment Advisers – Time to Revisit your Disclosures?

  Proper Disclosures are a Fiduciary Responsibility  One of the most important fiduciary duties of a Registered Investment Adviser (“RIA”) is that of disclosure. Current regulations require disclosure of many aspects of a RIA’s business including, among many things, ownership, business offerings,...

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State Regulatory Exams – What You Need to Know to Prepare

Investment advisers are regulated entities subject to various securities laws.  State registered investment advisers are subject to the regulations of each state the firm is registered with; however, those are not the only securities laws that can apply to a state registered investment adviser. ...

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Publications

NSCP Currents - Considerations for 2020 and Focus on SEC Exam Priorities

CEO Michelle Jacko and Compliance Analyst Conor Dale's article, "Considerations for 2020 and Focus on SEC Exam Priorities," was published in the April 2020 edition of the National Society of Compliance Professionals' Currents newsletter. The article provides an overview of the Securities and...

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CEO Michelle Jacko Quoted on CNBC

  CEO Michelle Jacko was featured in a CNBC article, “So Your Financial Advisor Took a PPP Loan. Here’s What That Means For You,” on May 14, 2020. In the article, Michelle discusses the circumstances surrounding disclosures of the Paycheck Protection Program (PPP) Loan, as well as how advisors who...

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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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