Operational disruptions are no longer hypothetical risks. Cyber incidents, natural disasters, technology outages, and key-person events have become increasingly common, and the Securities and Exchange Commission continues to emphasize operational resilience as a fundamental component of an adviser’s compliance program. … Read More
October 17-19, 2022 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP
Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
August 4, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Core Compliance and Nicole Dragoo
October 20, 2020 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP, CEO
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |