Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
May 2, 2019 | Speaker: Core Compliance
April 3-5, 2019 | “Best Practices for Managing Conflicts of Interest” | Speaker: Michelle Jacko, CSCP
March 14, 2019 | Speaker: Michelle Jacko, CSCP
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
On episode 36 of the CCO Buzz we cover some frequently asked questions, or FAQs, that the team has seen, and heard, as we are currently assisting clients with their first quarter, (“Q1”) along with their annual updates.
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
