Episode 96: How The 2022 SEC Exam Priorities will Affect Your Firm
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
Winner and Finalists Announcement: 2022 CCO of the Year Award
In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More
The Cybersecurity Evergreen: How Regulators Are Growing Their Focus on Cyberthreats and Protections
Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More
Episode 95: How Regulators Are Growing Their Focus on Cybersecurity
On episode 95 of the CCO Buzz podcast, we discuss the growing focus of regulators on cybersecurity!
Converting Critical Enterprise Risks into a Usable Risk Matrix
Successful compliance is built upon a solid foundation of risk management. Effective compliance programs begin with a thorough assessment to identify areas of risk within the organization. Developing a risk management framework is crucial to an organization’s ability to develop … Read More
2022 NSCP Virtual Educational Seminar – Navigating the Various Standards of Care/Conduct
2022 NSCP Virtual Educational Seminar | March 16, 2022 | Speakers: Michelle L. Jacko
2022 Investment Adviser Compliance Conference – Annual Reviews
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko
8 Smart Compensation Practices for Wealth Management Firms
CEO Michelle Jacko was featured in a Barron’s Advisor article titled “8 Smart Compensation Practices for Wealth Management Firms,” on January 4, 2022. “People want to have more say in the direction of their career and in the direction of the … Read More
Regulatory Focus on the Accuracy and Adequacy of Advisory Fee Billing and Disclosures
On November 10, 2021 the SEC Division of Examinations (“Division”) issued a Risk Alert outlining deficiencies the Division found during their national exam initiative on advisory fees. The focus of this Risk Alert was supplementary to the Risk Alert on … Read More
SEC Sues Investment Advisory Firm for Failure to Disclose Conflicts of Interest in its Wrap Fee Program
If your firm offers a wrap fee program to clients or recommends that clients participate in a wrap program, now is an opportune time to review your fee disclosures and billing practices and best execution protocols. In July 2021, the U.S. … Read More