Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
What Investment Advisor Reps Need to Know About New York State’s New Registration Requirements
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
Reminder of March 1 NFA Deadline for CPOs and CTAs to Reaffirm Exemption Status
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
NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives
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
Episode 82: Employee Training Tips for Year-End
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
Compliance Training: A Critical Component of Your Compliance Program
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
SDBJ Selects CEO Michelle Jacko for SD 500 Influential Business Leaders 2020
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
SDBJ Honors Michelle Jacko as Finalist for Business Women of the Year Awards 2020
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 Selected as a Finalist for SDBJ’s Leaders in Law Awards
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!
Michelle Jacko Selected as Finalist for SDBJ CEO of the Year Awards 2020
CEO Michelle L. Jacko has been honored as a finalist for the “CEO of the Year Awards 2020” by the San Diego Business Journal.