Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
Two Important Concerns to Address Within Your Business Continuity Plan (BCP) for an SEC Examination
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs
A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More
Is Your Firm Prepared for a Pandemic?
UPDATE (03.12.2020): Since the publishing of this blog post the Coronavirus (COVID-19) has infected more than 130,267 confirmed unique cases and has killed over 4,700 of those affected across 125 countries. The recent outbreak of the Coronavirus (COVID-19) has spread to … Read More
NSCP Webinar: Implementing A Stronger Due Diligence Program
July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance
Performing Due Diligence & Oversight of Third-Party Service Providers | Wolters Kluwer Modern Compliance Volume II
Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Episode 42: Succession Planning Considerations
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
2019 IA Compliance: The Full 360 View East
March 7, 2019 | Speaker: Michelle Jacko, CSCP
Episode 25: Due Diligence Investigations
This week, on episode 25, we discuss the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.