With the implementation deadline of the new SEC Marketing Rule fast approaching, there are many factors investment advisory firms need to consider. Social media has become a powerful marketing tool for investment advisors to put themselves in front of more … Read More
It’s the time of year again where Chief Compliance Officers start thinking about the compliance tasks that need to be completed by year-end, and there’s a lot to think about this year. Importantly, 2022 carries compliance deadlines for two major … Read More
In partnership with Starkweather and Shepley, the team at Core Compliance & Legal Services, Inc. SM (“Core Compliance”) is excited to announce this year’s Annual Compliance Awards. After last year’s success and growing interest, we’ve decided to enhance our awards … Read More
2022-2023 Annual Compliance Awards With the success of last year’s launch of the CCO of the Year Award, we have added a Rising Star Award to highlight upcoming, dedicated, young professionals in the investment industry. Are you a Chief … Read More
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
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 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
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
October 17-19, 2022 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP
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