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
Broker-Dealers | Conflicts of Interest Rule | Disclosures | Investment Adviser | Risk Management Updates (RMU)
Regulation Best Interest: Considerations for 2023
When a regulator shows its hand, take it seriously—a poignant lesson that one is wise to heed. At the end of January, the Securities and Exchange Commission (“SEC”) released a Risk Alert entitled ‘Observations from Broker-Dealer Examinations Related to Regulation … Read More
8 Things to Establish a Culture of Compliance: Training and Communication
As we all know in the compliance and financial services industries, as a registered investment adviser or as an employee of the adviser, you have a fiduciary duty to put your clients’ interests ahead of your own. But as a … Read More