In recent months, the increase of high-profile cyber-attacks have not only undermined investor confidence but have also rattled the industry. The U.S. Securities and Exchange Commission (SEC) has responded with a pledge to review and consider significant changes in cybersecurity … Read More
Fraudsters like to follow the money when it comes to targeting unsuspecting investors. It is why cryptocurrency and digital asset fraud topped the North American Securities Administrators Association’s (NASAA) annual list of investor concerns released January 10, 2022. Annual inflows … Read More
CEO Michelle Jacko’s article, “Meeting Current and Future Challenges of Serving Aging Clients,” was published in the February 2022 issue of Charles Schwab’s Compliance Review newsletter. In the article, Michelle reviews regulations that apply to investment advisors servicing seniors, including … Read More
Successful compliance is built upon a solid foundation of risk management. Effective compliance programs begin with a thorough assessment to identify areas of risk within the organization. Developing a risk management framework is crucial to an organization’s ability to develop … Read More
Welcome to the Supplemental Hub You’ve attended the session, but now you want more information… Thank you for attending “SEC Hot Topics and Compliance Expectations for 2022” presented by Michelle L. Jacko, CSCP. The discussion shouldn’t stop there. We’ve … Read More
On episode 93 of the CCO Buzz podcast, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss the importance of adequate and accurate Advisory Fee Billing.
2022 NSCP Virtual Educational Seminar | March 16, 2022 | Speakers: Michelle L. Jacko
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko
Sr. Compliance Consultant Position Available: Full-Time Senior Compliance Consultant Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), a compliance consultation firm specializing in compliance services for the investment adviser and financial industry, is seeking a Sr. Compliance Consultant to support … Read More
Maryland has joined Mississippi and Vermont on a growing list of state jurisdictions using January 1, 2022, as the effective date for new continuing education (CE) requirements. Within those states, Investment Adviser Representatives (IAR) must annually complete twelve (12) CE … Read More