Latest 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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Latest publications

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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Tito Pombra Featured on Enterprise Podcast Network

President Tito Pombra was featured on the Enterprise Podcast Network on September 16, 2019. During his episode, “Consumers Need to Do Their Due Diligence When Selecting a Trusted Advisor," Mr. Pombra discusses what a consumer should do when looking for an advisor, as well as red flags to be aware...

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Forbes Council - Creating a Strong Culture of Compliance

President Tito Pombra's article was featured in Forbes Council  (blog) titled "Creating a Strong Culture of Compliance" published July 8, 2019. In the article Mr. Pombra discusses what it means for a firm to have an established "tone at the top", as well as how to create and maintain a culture of...

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SD Voyager - Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown

Our CEO Michelle Jacko was featured in an SD Voyager article titled "Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown" on May 23, 2019. In the article Michelle participates in a Q&A interview where she discusses her journey in compliance and the path to building Core...

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NSCP Currents - Tips on How to Prepare For Your Next Examination: Part 2

Our CEO Michelle Jacko's article, "Tips on How to Prepare For Your Next Examination: Part 2," was featured in the April 2019 edition of the National Society of Compliance Professionals' Currents.

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Charles Schwab: SEC Key Topics - How to Prepare for an Examination

Our CEO Michelle Jacko's presentation from the Schwab IMPACT 2018 Conference was featured and was based in the article, "SEC Key Topics - and How to Prepare for an Examination," which is available among Charles Schwab's Adviser Services.

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How Risk Alerts Can Help You Prepare for Your Next Examination

Our CEO Michelle Jacko's article, "How Risk Alerts Can Help You Prepare for Your Next Examination," was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.

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NSCP Currents - Tips on How to Prepare For Your Next Examination: Part 1

Our CEO Michelle Jacko's article, "Tips on How to Prepare For Your Next Examination: Part 1," was featured in the March 2019 edition of the National Society of Compliance Professionals' Currents.

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Wolters Kluwer - Common Compliance Violations Seen in 2018

Our CEO Michelle Jacko's article, "Legal Risk Management Tip: Common Compliance Violations Seen in 2018," was featured in the January/February 2019 edition of Wolters Kluwer's Practical Compliance Risk Management for the Securities Industry.

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NSCP Currents - Compliance Year-End Preparation Checklist

Featured in the December 2017 edition of the National Society of Compliance Professionals ("NSCP")  Currents  publication, our Lead Senior Compliance Consultant,  Tina Mitchell , provides guidance on compliance and what you should be thinking about to prepare for 2018. 

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