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

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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Featured Publication

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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Risk Management Updates

Cybersecurity Considerations for Working from Home during COVID-19

The COVID-19 pandemic has upended our personal and professional lives and many businesses are adjusting to this new environment in which working from home could be the new normal for an extended period of time. Since many firms have shifted to working remotely, Chief Compliance Officers (“CCOs”),...

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Performing Due Diligence on Service Providers is Essential During COVID-19

Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest.  The Securities and Exchange Commission (“SEC”) describes this fiduciary...

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Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs

A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives.  For some, we are indefinitely “sheltered in” and are working remotely where possible.  Others must take care of loved ones and those who have special needs (due to illness,...

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Publications

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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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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