Michelle Jacko to Speak at the InvestmentNews goRIA Masterclass
June 13, 2024 | InvestmentNews – goRIA MasterClass | Speaker: Michelle L. Jacko, CSCP, CEO
Cybersecurity: A Dizzying World of Contemporary High Adventure
In this month’s Risk Management Update, we’re highlighting recent insights and observations in the world of cybercrime. While there is nothing new about most of these activities, cybercriminals are continually adapting their methods to stay one step ahead of financial … Read More
New Regulation Compliance Deadlines That Advisers Should Know About
The U.S. Securities and Exchange Commission (“SEC”) has been very busy over the last couple of years issuing new regulations that apply to investment advisers. For several of these, it is apparent in the name that it applies to investment … Read More
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