The end of the year is a natural checkpoint for investment advisers to take stock of what has changed, what still needs attention, and what should be carried into 2027. Regulatory expectations continue to evolve, while firms themselves may be … Read More
CEO Michelle Jacko‘s recent article, “What to Expect During an SEC Formal Investigation,” was published in the June 2026 issue of the NSCP Currents Newsletter. In the article, she explores the role of the SEC’s Division of Enforcement and their … Read More
“Fundamentals win championships” Coach Marty asserted on the first day of practice. It became the ideology of the only sports team I was on that ever won a championship. It was my last year of playing inner-city baseball before going … Read More
The next compliance date for implementing the requirements under amended Regulation S-P is fast approaching.[1] To help you prepare, this month’s Risk Management Update (“RMU”) provides steps that are required to be implemented – but are being presented with … Read More
As regulatory expectations and operational complexities continue to grow, investment advisers and broker-dealers increasingly turn to technology and specialized service providers to meet their obligations efficiently and effectively. Outsourcing certain functions has become a strategic choice, offering access to deep … Read More
March 18-20 | 2026 Investment Adviser Compliance Conference | Washington, D.C. | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is excited to be returning to this year’s IAA Investment Adviser Compliance Conference! The event will take place from March … Read More
Another year in compliance is officially in the books — and yes, that’s worth celebrating. While 2025 did not introduce sweeping new rules, it reinforced a familiar reality for advisory firms: ongoing obligations still require ongoing effort. Custody audits, annual … Read More
The digitization of communication continues with fervor. For the financial industry, this is parallelled by the continued development of associated rules and requirements as regulators work to stay in lockstep with technological advancements. As new platforms and methods of communication … Read More
As 2025 draws to a close, compliance teams have a valuable opportunity to pause, reflect, and confirm the overall health of their programs. Year-end is not just about closing out outstanding tasks — it’s about validating that the firm’s compliance … Read More
It’s common knowledge in the securities industry that an investment adviser registered with the Securities and Exchange Commission (“SEC”) is required to have a compliance program in place, which must be structured and maintained to prevent violations of applicable federal … Read More