FINRA | Regulatory Examinations | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) Regulatory Update: Recent Speeches from the SEC’S Office of Compliance Inspections and Examinations and FINRA November 30, 2010 by Core Compliance Nov. 2010
FINRA | Regulatory Examinations | Risk Management Updates (RMU) FINRA 2010 Examination Highlights Part II May 1, 2010 by Core Compliance May 2010
Risk Management Updates (RMU) FINRA 2010 Examination Highlights April 1, 2010 by Core Compliance April 2010
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
Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) Fund Managers Should Actively Review Disclosures and Portfolio Mandates September 1, 2008 by Michelle Jacko Sept. 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 | Risk Management Updates (RMU) Investment Companies: Fund Compliance Reminders August 1, 2007 by Michelle Jacko Aug. 2007
Broker-Dealers | Investment Adviser | Publications NSCP Currents – Balancing the Roles of CCO and Legal Counsel January 1, 2005 by Core Compliance Jan/Feb. 2005
