Help Teach Your Clients How To Avoid Investment Scams
Clients Who Want To Chase the Latest Hot Investment Opportunity Can Be Exposed To Scams
New Customer Due Diligence Rule in Effect — What It Means for Your Firm
We live in a world filled with bad actors who consistently attempt to take advantage of flaws and weaknesses in our financial systems, often to the detriment of the law-abiding majority. When these efforts reach a grand scale in the form … Read More
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.