Michelle Jacko
Michelle Jacko Published in NSCP Currents

CEO Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter. In the article, Michelle discusses what change management is, common issues that can arise due to change, and addresses … Read More

Supervision in a Pandemic and Post-Pandemic World

At the onset of the pandemic in early 2020, firms were forced to pivot quickly into a remote working environment.  While business continuity plans had been repeatedly tested for a shift in location from the primary location, no one understood … Read More

Alexandria Hutchinson

Alexandria Hutchinson Alexandria Hutchinson Compliance Associate Email and Correspondence Reviews Regulatory Filings, such as Form U4, U5 and 13F, 13H Compliance Program Testing Investment Adviser, Broker-Dealer, and Investment Company Compliance

Managing Books and Records Through Technology

The implementation of technology has become an integral component in the administration of a compliance program. Gone are the days of maintaining hardcopies in filing cabinets and conducting manual reviews of compliance tests. Similar to the adoption of technology in … Read More

Robo-Advisers are Not Immune from Compliance Failures

Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2]  The most reoccurring are violations … Read More

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