Making the leap to independence as a financial advisor holds the promise of greater autonomy, the ability to shape your firm’s culture, and the potential for increased long-term growth. However, transitioning from a wirehouse or broker-dealer to start an RIA … Read More
Even though there is no specific rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) for registered investment advisers to seek best execution when trading on behalf of their clients, most investment advisers understand that this … Read More
As the regulatory landscape continues to evolve, investment advisory and broker-dealer professionals increasingly rely on technology and third-party vendors to meet expanding compliance obligations. Outsourcing compliance functions remains a growing trend, with firms finding specialized expertise, cost efficiency, and enhanced … Read More
The day began for you like any other: you show up to your office at the same time as always. You follow your usual habits and routines as you move through the space to your workstation, the sights, sounds, and … Read More
Maintaining a compliant organization is no small task. With new rules and regulations emerging each year, it’s easy for small oversights – the proverbial “broken windows” – to slip through the cracks. Unfortunately, these minor missteps can snowball into significant … Read More
Core Compliance’s recent article, “2024 Year-End Checklist: Compliance Preparation for Investment Advisers,” was published in the November 2024 issue of the NSCP Currents Newsletter. In the article, we provide CCO’s with a detailed compliance checklist, along with compliance steps to … Read More
November 19-21, 2024 | Schwab IMPACT 2024 | San Francisco, CA | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s Schwab IMPACT Conference! Schwab IMPACT 2024 will take place from November … Read More
As the new year approaches, now is a crucial time of year for investment advisers to ensure that their compliance programs are up to speed. Recent Risk Alerts and examination findings by the Securities and Exchange Commission or the “SEC,” … Read More
CEO Michelle Jacko’s article, “Off-Channel Communication: How to Comply with Regulatory Expectations,” was published by SmartBrief in September 2024. In the article, Michelle discusses some of the recent enforcement actions related to off-channel communication, and considerations for investment managers … Read More
Advisers, it’s time to prepare! As of September 4, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has adopted a rule that will deem certain investment advisers, including ERAs, as “financial institutions” and require implementation of … Read More