Episode 89: Preparing For a State Exam – Advice From a Former Regulator
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
Ongoing Areas of Focus for State Securities Regulators
In its recently issued annual report on state-registered investment advisers, the North American Securities Administrators Association (NASAA) was straightforward about the steps it believes advisers should be taking to create a culture of compliance in today’s rapidly changing regulatory environment. … Read More
Compliance Expectations for 2021 (Part 2)
Schwab Compliance Web Event | March 17, 2021 | Speakers: Michelle L. Jacko
Be in the Know: SEC Examination Priorities (Part 1)
Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko
SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses
2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speaker: Michelle L. Jacko, CSCP
Tips and Trends to Help Advisers Prepare for SEC Examinations
2021 IAA Investment Adviser Compliance Conference | March 4, 2021 | Speakers: Michelle L. Jacko
Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021
Schwab Compliance Webinar | February 25, 2021 @ 1:00pm to 2:00pm PT | Speakers: Michelle L. Jacko
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: No One is Above the Law
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: A Banner Year for Whistleblowers
In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies of all businesses and the team at Core Compliance … Read More
Helpful Hints on What to Expect in 2021 from the SEC’s Division of Enforcement: COVID-19
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must-read for trendspotters who want to know what … Read More