The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 … Read More
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
The Investor Protection Bureau (IPB) of the New York State Attorney General’s office has adopted regulations that took effect February 1, 2021, under which investment advisor representatives (IARs) of both federal and state investment advisory firms must register with the … Read More
Every new year brings a multitude of filings that compliance officers of financial advisory firms must make to meet regulatory requirements. Among the items on the compliance checklist for those involved in futures trading is the annual need to reaffirm … Read More
The North American Securities Administration Association (NASAA) is a voluntary body composed of state securities regulators across all 50 states, Canada, and Mexico. Founded in 1919, it is the oldest international regulatory organization devoted to investor protection. Many in the … Read More
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
As the year is ending, we know that there are several items that you will be focused on completing. An important item that should be on your list, is confirming that adequate compliance training has been provided to your personnel. … Read More
CEO Michelle L. Jacko has been selected for the “San Diego 500 Influential Business Leaders” list by the San Diego Business Journal. The SD 500 is a through list of important leaders and executives in the San Diego business community, and includes those … Read More
CEO Michelle L. Jacko has been honored as a finalist for the “Business Women of the Year Awards 2020” by the San Diego Business Journal. According to the San Diego Business Journal, this award “recognizes dynamic women business leaders who have contributed significantly to … Read More
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!