Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) There’s Something about Mary: An Introduction to SEC Chairman Mary Shapiro and What to Expect During Her Term March 1, 2009 by Michelle Jacko March 2009
Regulatory Examinations | Risk Management Updates (RMU) They’re Coming – Preparing for Your Next Regulatory Examination January 1, 2009 by Michelle Jacko Jan. 2009
Publications Bank Advisor Magazine – Who’s Risking Your Business? (Part III) January 1, 2009 by Core Compliance
Publications Bank Advisor Magazine – Who’s Risking Your Business? (Part II) November 1, 2008 by Core Compliance
Publications Bank Advisory Magazine – Are Your Employees Risking Your Business? (Part I) September 1, 2008 by Core Compliance Sept/Oct. 2008
Broker-Dealers | Investment Adviser | Publications Bank Advisor Magazine – The Effects of Regulation S-P on Your Business July 1, 2008 by Core Compliance Jul/Aug. 2008
Disclosures | Risk Management Updates (RMU) Hedge Fund Best Practices June 1, 2008 by Michelle Jacko June 2008
Disclosures | Risk Management Updates (RMU) Newly Proposed Changes to Regulation S-P May 1, 2008 by Michelle Jacko May 2008
Regulatory Examinations | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) Top Areas of 2007 Deficiencies Noted by the SEC in San Diego’s CCO Outreach Program April 1, 2008 by Core Compliance April 2008
Disclosures | Publications Bank Advisor Magazine – The New Merrill Lynch Guidelines January 1, 2008 by Core Compliance Jan/Feb. 2008
