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

Compliance Considerations of Portfolio Management and Trading

Proper Portfolio Management and Trading are Regulatory Priorities: In its 2019 Examinations Priorities Letter, the Securities and Exchange Commission (“SEC”), Office of Compliance Inspections and Examinations, listed Portfolio Management and Trading as SEC Examinations priorities.[1]  Many Firms...

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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

Cybersecurity Considerations to Address in Preparation for 2020

 As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at the top of the Securities and Exchange...

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Year End Compliance Checklist Considerations for Investment Advisers

With another year winding down, compliance personnel need to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion.  Consideration of any regulatory changes, guidance and risk alerts issued during the year, emerging best practices and enforcement...

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Updates and Changes to Your Firm's Policies and Procedures

Under Rule 206 (4) -7 all Registered Investment Advisers (“RIA’s) are required to have compliance Policies and Procedures, adequately designed to help them meet their regulatory requirements.  A Firm’s obligations regarding their Policies and Procedures manuals do not end at just having a manual. ...

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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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Forbes Council Features President Tito Pombra

President Tito Pombra was quoted on the Forbes Council blog post, "Considering An Online Lender? 12 Things Every Business Owner Should Know" on October 1, 2019. In the post, Tito and his fellow Forbes Finance Council members provide insight on the best ways to approach online lending. 

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