Schwab National Summit
Michelle Jacko will be presenting a “Cybersecurity Workshop” at the Schwab National Summit in Ft. Lauderdale on April 6-7, 2017.
Why Investment Advisers Should Perform Annual Risk Assessments
“Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”). To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, … Read More
Wolters Kluwer – Today’s Challenges for Servicing Aging Clients
September/October 2016
California Attorney Defrauds EB-5 Investors
On December 27, 2016, the Securities & Exchange Commission (“SEC”) charged Emilio Francisco with defrauding investors seeking to participate in the EB-5 immigrant investor program. The EB-5 program, which is administered by the U.S. Citizenship and Immigration Service (“USCIS”), allows … Read More
Ascendant Compliance Conference
CEO, Michelle Jacko, will be at Ascendant’s 2017 Compliance Conference in Naples, FL from Monday, April 3-5, 2017.
2017 NSCP Annual Conference
From October 17-19, 2017, Core Compliance will be at the 2017 NSCP Annual Conference in Washington, D.C.
The Next Iteration of Fraudulent Disbursements
Criminal activity is constantly evolving. Fraud emanating from a compromised email account is fairly well known and most firms have implemented authentication procedures to address fraudulent third-party wire transfers. However, another threat has recently gained traction in the financial industry, … Read More
Creating a Robust Compliance Program
The Compliance Program
Mary Jo White Stepping Down as Chair of Securities and Exchange Commission
On November 14, 2016, Mary Jo White, SEC Chair, announced her plans to step down at the end of the Obama Administration. During her tenure, the SEC brought more than 2,850 enforcement actions and obtained judgements and orders that tallied … Read More
2016 Core Compliance Annual Compliance Symposium Materials
Thank you for attending our 5th Annual Compliance Symposium in Anaheim, CA. We hope you enjoyed meeting the team and were able to gain valuable insight into the changes impacting our industry today. In keeping with cybersecurity best practices, we … Read More