NSCP Regulatory Interchange with the SEC – Spring 2018
Join us at the NSCP Regulatory Interchange with the SEC at the San Francisco Schwab Center on May 4th, 2018.
5 Compelling Reasons to Seek Outsourced Compliance Services
For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, … Read More
Aging Client Considerations at Top of 2018 SEC Exam Priorities
The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme. The focus on these investors has … Read More
Preventative Regulatory Compliance — Save Time and Money (and Headaches) up Front
“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance. Preventative, proactive compliance programs save enormous amounts of time, money, and sanity. As most firms are well aware, … Read More
Episode 12: P & P Manuals and What to Know in Compliance for Q2
Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.
2018 Investment Adviser Compliance Conference – Discussions with the SEC
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More
Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.
Form ADV Tips: What You Should Think About Before Filing
Registered investment advisers (“RIAs”) that have a fiscal year-end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing their … Read More