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

Investment Adviser Year-End Compliance Checklist

At the beginning of 2021, the Securities and Exchange Commission (“SEC”) released its exam priorities report for the year.[1] In the release, the SEC stated the following:  “The Division will continue to review the compliance programs of RIAs, including whether those programs and their policies and...

Read More

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...

Read More

Risk Management Updates

SEC Strengthens Focus on Wrap Fee Programs

For the last several years, the Securities and Exchange Commission (“SEC”) has continually provided guidance and direction with regards to advisers’ fiduciary duty in making recommendations for wrap fee programs. From exam priorities[1] to an investor bulletin[2], the writing has been on the wall...

Read More

Compliance Vendor Solutions for 2021

As the industry continues to become more intricate and evolve with technological advancement, it is imperative for firms to evaluate their critical resources to stay ahead of the curve. To reduce potential risk, access subject matter experts, comply with regulatory requirements and/or improve...

Read More

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...

Read More

View All

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.

Read More

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...

Read More

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...

Read More

View All