What We Can Learn From the Recent $26 Million Settlement from LPL Financial LLC
The importance of having proper policies, procedures, and controls in place to ensure your firm is in compliance before regulators come knocking cannot be overstated — and every few months it seems, an example finds its way into the news … Read More
NSCP Regulatory Interchange with the SEC – Spring 2018
Join us at the NSCP Regulatory Interchange with the SEC at the San Francisco Schwab Center on May 4th, 2018.
5 Compelling Reasons to Seek Outsourced Compliance Services
For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, … Read More
Episode 13: Take-Aways from the OCIE Risk Alert on Advisory Fee Expense Issues
Michelle Jacko discusses key takeaways from the OCIE’s recent Risk Alert on Advisory Fee Expense Issues.
Episode 12: P & P Manuals and What to Know in Compliance for Q2
Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.
Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.
Risk Management Update: Risk Management Steps for Dealing with Inadvertent Custody
Determining whether or not your investment advisory firm has custody is not an easy task, but it is necessary. While having custody of client assets is not prohibited under Rule 206(4)-2 of the Investment Advisers Act of 1940, as amended … Read More
New York’s Cybersecurity Requirements for Financial Services Companies
In 2017, the State of New York’s Department of Financial Services (“DFS”) adopted new requirements for financial services companies (“Covered Entities”)[1] to create and maintain robust cybersecurity policies and programs in a continuing effort to thwart cybercrimes and large scale … Read More