Latest publications

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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Latest publications

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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Thomson Reuters - Practical tips for preparing for your next regulatory examination

November 21, 2014

September 23, 2014

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Charles Schwab Compliance Review - Custody compliance: Creating more clarity

November 21, 2014

July 2014

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Charles Schwab – Compliance Review: Referral Arrangements and Referral Fees: What You Should Consider

January 31, 2014

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Wolters Kluwer Practical Compliance & Risk Management For the Securities Industry - Today's Social Media Challenges: What Compliance Professionals Need to Know

September 11, 2013

Sept./Oct. 2013

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The Importance of An Adviser’s Annual Review

April 09, 2013

Mar./Apr. 2013

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Thomson Reuters - Best Execution and the Investment Adviser: Policies and Procedures to Meet the Obligation

October 04, 2012

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Charles Schwab Compliance Review - Trading Compliance

September 17, 2012

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Wolters Kluwer Practical Compliance & Risk Management For the Securities Industry - Investment Adviser Performance Marketing and Advertising – What You Need to Know

July 19, 2012

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Thomson Reuters - Practical Tips for an Investment Advisor (IA) Code of Ethics

June 07, 2012

Nov. 2011

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Thomson Reuters - Insurance Licenses: How to Navigate the Current Requirements

March 23, 2012

Mar. 2012

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NSCP Currents - Private Fund Regulation: SEC Examination and Enforcement Hot Topics

November 30, 2011

Nov/Dec. 2011

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NSCP Currents - Privacy Best Practices and Updates on Regulation S-P

October 31, 2009

Nov/Dec. 2009

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