Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Best Execution Considerations for Advisers,” was featured in the November 2019 edition of the National Society of Compliance Professionals’ Currents. The article discusses consideration factors for seeking best execution, testing protocols for different types … Read More
Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Year End Compliance Checklist Considerations for Investment Advisers,” was featured in the October 2019 edition of the National Society of Compliance Professionals’ Currents.
Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.
Core Compliance’s President was featured on the Enterprise Podcast Network on September 16, 2019. During his episode, “Consumers Need to Do Their Due Diligence When Selecting a Trusted Advisor,” he discusses what a consumer should do when looking for an … Read More
Our CEO Michelle Jacko was featured in an SD Voyager article titled “Meet Michelle Jacko of Core Compliance & Legal Services, Inc. in Downtown” on May 23, 2019. In the article Michelle participates in a Q&A interview where she discusses her journey in … Read More
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.
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.
Our CEO Michelle Jacko’s article, “How Risk Alerts Can Help You Prepare for Your Next Examination,” was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.
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.
Our CEO Michelle Jacko’s article, “Legal Risk Management Tip: Common Compliance Violations Seen in 2018,” was featured in the January/February 2019 edition of Wolters Kluwer’s Practical Compliance Risk Management for the Securities Industry.