Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) SEC Rule Proposal: Regulating “Pay to Play” Practices September 1, 2009 by Michelle Jacko Sept. 2009
Investment Adviser | Risk Management Updates (RMU) Alternative Adviser Registration Options June 1, 2009 by Michelle Jacko June 2009
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
Cybersecurity | Publications Wolters Kluwer – Privacy Protections Required by Securities Firms: Compliance with the Evolving Regulatory Landscape December 1, 2008 by Core Compliance Dec. 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
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
Form ADV | Publications | Securities and Exchange Commission (SEC) NSCP Currents – The Changing Landscape of Disclosure: Proposed Changes to Form ADV Part 2 May 1, 2008 by Core Compliance
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
