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) The Importance of E-Mail Controls December 1, 2008 by Michelle Jacko Dec. 2008
Disclosures | Risk Management Updates (RMU) SFAS 157 – Fair Value Measurements October 1, 2008 by Core Compliance Oct. 2008
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
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
Disclosures | Risk Management Updates (RMU) Important Strategies to Consider for Reviewing your Disclosures April 1, 2008 by Core Compliance Aug. 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
Broker-Dealers | Disclosures | Risk Management Updates (RMU) Approaching the Heightened Standards in Offering Investment Tools to Service Members December 1, 2007 by Michelle Jacko Dec. 2007
