On January 24, 2022, Chairperson Gary Gensler said the Securities and Exchange Commission (SEC) might extend regulatory responsibility for cyber-risk management by requiring third-party providers to have adequate safeguards in place to protect investors and ensure key services for them … Read More
On episode 95 of the CCO Buzz podcast, we discuss the the growing focus of regulators on cybersecurity!
The knowledge hub for the 2022 IAA Investment Adviser Compliance Conference presentation, “Annual Reviews,” presented by CEO Michelle L. Jacko. Presentation Slides 2022 IAA Compliance Conference – Annual Reviews Presentation Supplemental Materials SEC Risk Alert – Investment Adviser … Read More
Schwab Compliance Web Event | March 31, 2022 | Speakers: Michelle L. Jacko
2022 Regulatory Compliance Watch Webinar | March 22, 2022 | Speakers: Michelle L. Jacko
Los Angeles SEC Compliance Services & Consulting Core Compliance & Legal Services, Inc.℠ provides regulatory SEC and State compliance consulting and services for the Los Angeles area. We have been servicing the Los Angeles area for more than 10 years … Read More
San Diego SEC Compliance Services & Consulting Core Compliance & Legal Services, Inc.℠ provides regulatory SEC compliance consulting and services for the San Diego area. We have been servicing the greater San Diego area for more than 13 years and … Read More
EB-5 Compliant Business Plan & Investment Compliance The EB-5 industry is growing very rapidly and with that comes increased regulatory oversight. Core Compliance & Legal Services, Inc.℠ (“Core Compliance”) can help with: Broker-Dealer Formation Firms that are interested in starting … Read More
Form ADV & Form CRS Compliance Consulting Before 2020, firms only needed to prepare or update their Form ADV every year – and sometimes, more often than that. But now, firms are required to also file their Customer Relationship Summary, … Read More
Cybersecurity Compliance Program & Risk Assessment Cybersecurity is a significant compliance and business risk that affects nearly all firms. Core Compliance has developed a five-point action plan that is practical, economical, and effective for your cybersecurity compliance program and risk assessment.