March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO

Welcome to the Supplemental Hub   You’ve attended the session, but now you want more information… Thank you for attending “Be in the Know: New SEC Priorities & How to Prepare in 2023” presented by Michelle L. Jacko, CSCP. The discussion … Read More

It should come as no surprise that many compliance professionals, no matter how seasoned, find regulatory examinations to be daunting and at times even a little scary. In our experience, we don’t typically hear that compliance officers enjoy the examination … Read More

At Core Compliance, we encourage our clients to build a culture of compliance and to set the “tone from the top.”  This is, of course, common practice in the financial services industry, but recently we were asked, “what happens after … Read More

When a regulator shows its hand, take it seriously—a poignant lesson that one is wise to heed. At the end of January, the Securities and Exchange Commission (“SEC”) released a Risk Alert entitled ‘Observations from Broker-Dealer Examinations Related to Regulation … Read More

As we all know in the compliance and financial services industries, as a registered investment adviser or as an employee of the adviser, you have a fiduciary duty to put your clients’ interests ahead of your own. But as a … Read More

March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, CSCP, CEO

By: Christopher Hufty, Compliance Consultant  In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, and text messages, or even … Read More

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO

March 12-14, 2023  | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, CSCP, CEO