Matthew Rothchild to Speak at 2024 NSCP National Conference
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Matthew Rothchild
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Matthew Rothchild
Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More
On episode 93 of the CCO Buzz podcast, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss the importance of adequate and accurate Advisory Fee Billing.
A recent filing by the U.S. Securities and Exchange Commission (“SEC”) against a California-based advisory firm should serve as a cautionary tale for compliance officers. It provides keen insight into the SEC’s ongoing effort to seek enforcement action against firms … Read More
For the last several years, the Securities and Exchange Commission (“SEC”) has continually provided guidance and direction with regards to advisers’ fiduciary duty in making recommendations for wrap fee programs. From exam priorities[1] to an investor bulletin[2], the writing has … Read More
The continued growth of investor assets participating in wrap fee programs has prompted regulators to maintain a sharp focus on the programs as part of an ongoing assessment of market-wide risks and matters of importance to retail investors saving for … Read More
2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speaker: Michelle L. Jacko, CSCP
CEO Michelle Jacko‘s article, “Why Advisory Fees and Expenses Remain a Continued Regulatory Focus,” was published in the January 2021 edition of the National Society of Compliance Professionals’ Currents newsletter.
Due to the considerable operational obstacles faced by many entities under their regulatory umbrella due to COVID-19, the Municipal Securities Rulemaking Board (MSRB) has filed a rule change to provide regulatory relief by extending the compliance and testing deadlines for … Read More
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.