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.
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More
2021 IAA Investment Adviser Compliance Conference | March 4, 2021 | Speakers: Michelle L. Jacko
Schwab Compliance Webinar | February 25, 2021 @ 1:00pm to 2:00pm PT | Speakers: Michelle L. Jacko
Regulatory Compliance Watch Webinar | February 2, 2021 @ 11:00am to 12:00pm PT | Speakers: Michelle L. Jacko
The North American Securities Administration Association (NASAA) is a voluntary body composed of state securities regulators across all 50 states, Canada, and Mexico. Founded in 1919, it is the oldest international regulatory organization devoted to investor protection. Many in the … Read More
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
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
As the year winds down, there are several items you’ll be focused on completing. One that belongs on the list is confirming that adequate compliance training has been provided to your personnel. Whether you are a registered investment adviser or … Read More