Episode 45: P&P Manual Updates
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
Flouting Compliance: A New York-Based Investment Advisory Firm Charged by the SEC
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
Non-DVP Custodial Practices and Digital Assets: Your Input Requested
On March 12, 2019, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management published a letter addressed to the Investment Adviser Association seeking input from interested parties regarding custody issues related to: Investment adviser and custodial trading practices that … Read More
Episode 43: Key Considerations for Investment Advisers Regarding Risk Alerts and Mutual Funds
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
NSCP Currents – Tips on How to Prepare For Your Next Examination: Part 2
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 2,” was featured in the April 2019 edition of the National Society of Compliance Professionals’ Currents.
Charles Schwab: SEC Key Topics – How to Prepare for an Examination
Our CEO Michelle Jacko’s presentation from the Schwab IMPACT 2018 Conference was featured and was based in the article, “SEC Key Topics – and How to Prepare for an Examination,” which is available among Charles Schwab’s Adviser Services.
Best Execution Considerations for Investment Advisers
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
NSCP Currents – Tips on How to Prepare For Your Next Examination: Part 1
Our CEO Michelle Jacko’s article, “Tips on How to Prepare For Your Next Examination: Part 1,” was featured in the March 2019 edition of the National Society of Compliance Professionals’ Currents.
Episode 42: Succession Planning Considerations
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
Your Compliance Arsenal: Essential Resources for Compliance in 2019
Most firms are actively engaged in reviewing their compliance programs during the first quarter of every year. Reflecting and evaluating your supervisory structure and internal controls, particularly in light of regulatory examination priority areas is essential. SEC Risk Alerts amplify … Read More