Raymond James Conference Features Michelle Jacko
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
Experiences from FINRA Disciplinary Review Panels
“Familiarity breeds contempt” It’s an old saying that proves itself relevant again and again. When looking over the headlines or through the trade publication emails that fill our inboxes, even the most casual observer can find examples of someone whose … Read More
Michelle Jacko to Speak at 2023 NSCP National Conference
October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
Live Webinar – RIA Best Practices for Complying with the Proposed New Cyber Rule
June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More
Compliance Evolution: Outsourcing Solutions for 2023
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
How to Start Aligning Your C-Suite with Compliance
Whether you’re a seasoned compliance professional or just getting started in the industry, one of the biggest hurdles you may encounter is aligning senior management with compliance. At Core Compliance & Legal Services, Inc. (“Core Compliance”), we often hear “if … Read More
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
Events | Investment Adviser | Performance Advertising | Regulatory Examinations | Securities and Exchange Commission (SEC)
RCW Webinar Featuring CEO Michelle Jacko
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
Tips for Handling Regulatory Examinations: #1 – Tone from the Top
It should come as no surprise that many compliance professionals, no matter how seasoned, find regulatory examinations to be daunting and at times even a little scary. In our experience, we don’t typically hear that compliance officers enjoy the examination … Read More
Building a Culture of Compliance Through Governance
At Core Compliance, we encourage our clients to build a culture of compliance and to set the “tone from the top.” This is, of course, common practice in the financial services industry, but recently we were asked, “what happens after … Read More