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

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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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

How to Build an Effective Culture of Compliance

Often, when broker-dealers and investment advisory firms are sanctioned by the regulators, the question on everyone’s mind is: where was compliance? While most firms are required to have a designated Chief Compliance Officer (“CCO”), few have more than one compliance professional, and for smaller...

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New NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives

The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 of the 1956 Act) is...

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Considerations for Advancing Your Compliance Program in 2021

As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider when reviewing your compliance program.

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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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