Long Beach NSCP Interactive Compliance Lab Features Michelle Jacko
April 18, 2024 | Long Beach, CA | Speaker: Michelle L. Jacko, CSCP, CEO
Navigating the Importance of Form ADV Disclosures
As the annual ADV filing deadline approaches, advisors must prioritize updating their Form ADV to ensure compliance with regulatory standards and uphold the principles of loyalty and care towards clients. In accordance with federal and state securities regulations, both SEC … Read More
It’s All About Communication – Navigating Off-Channel Communications in the Investment Advisory Space
In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More
IAA Compliance Conference 2024 | Compliance 101
March 6 – 8, 2024 | Washington, DC | Speaker: Michelle L. Jacko, CSCP, CEO
All Aboard the Custody Cruise – Understanding the Custody Rule
Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody. It’s … Read More
2023 Investment Adviser Compliance Checklist in Preparation for Year-End and Beyond
In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
The Safekeeping of Client Assets
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
Update on State Adoption of NASAA’s IAR CE Model Rule
Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the … Read More
Raymond James Conference Features Michelle Jacko
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
Private Fund Investment Considerations
For investment professionals, there are a seemingly endless array of rules and regulations to consider when reviewing a client’s existing investments and considering new investments to recommend. In this month’s Risk Management Update, we take a look at a few … Read More