Latest publications

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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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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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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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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NSCP Currents - What Advisors Need to Do for Upcoming Changes to Form ADV

Featured in the July 2017 edition of the National Society of Compliance Professionals ("NSCP") Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, describes the essentials for advisors to prepare for the upcoming changes to Form ADV. 

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Wolters Kluwer - Today's Challenges for Servicing Aging Clients

September/October 2016

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