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Location:

United States

Twitter:

@CoreCLS

Language:

English

Contact:

619.278.0020


Episodes

Take Aways from the OCIE Risk Alert on Advisory Fee Expense Issues

4/12/2018
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Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.

Duration:00:06:25

Episode 12: P & P Manuals and What to Know in Compliance for Q2

4/5/2018
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Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.

Duration:00:06:01

Considerations for Hiring an Outsourced Compliance Consultant

3/12/2018
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When considering potential compliance consultants for your investment advisory firm to partner with, there's some key considerations you should have in mind. Gebriela Birhane discusses what your firm should be looking for in their compliance consultant.

Duration:00:06:05

Major Compliance Deadlines for 2018 - Second Quarter

3/8/2018
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There are some major deadlines approaching for investment advisers as we near the end of the first quarter and look ahead to Q2. Tune in to hear about some of the big ones to be aware of, and how to prepare so you don't miss the filing due dates.

Duration:00:06:07

Self Reporting Share Class Selection Disclosures

3/1/2018
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The SEC's recent announcement regarding self-reporting of mutual fund share class selection disclosures is one that should concern many broker dealers and investment advisers. Learn more about what you should be aware of in this week's CCO Buzz:

Duration:00:06:01

SEC Exam Priorities Part 2 - Specific Areas of Focus

2/15/2018
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This week, Michelle Jacko talks about the SEC's areas of focus for their 2018 regulatory exams.

Duration:00:04:24

2018 SEC Exam Priorities, Part 1

2/12/2018
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On this week's CCO Buzz, we will be talking about the 2018 National Exam Program Examination Priorities, which was just issued on February 7, 2018 by the US Securities and Exchange Commission.

Duration:00:05:06

Answering 3 Common Questions About Crowdfunding and Regulatory Compliance

2/1/2018
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At Core Compliance, we're often asked about the regulatory compliance around crowd funding. When do you need to file specific forms, or what limits are there on advertising? Michelle Jacko, CEO, discusses the three most common questions we're asked in this episode of the CCO Buzz.

Duration:00:04:56

Performance Advertising Issues for Investment Advisers

1/25/2018
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This week, Michelle Jacko discusses what investment advisers and CCOs need to be aware of when it comes to performance advertising, and the potential issues that firms may encounter.

Duration:00:07:20

CCO Buzz Episode 2: Aging Client Considerations

1/18/2018
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Aging client considerations continue to be a regulatory focus year after year. Learn what you should be aware of and prepared for in this episode of CCO Buzz:

Duration:00:03:55

Episode 1: Practical Tips for Your Cybersecurity Program

1/11/2018
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How do you ensure that your financial institution is properly prepared in all aspects of Cybersecurity? Michelle Jacko, CEO of Core Compliance℠, discusses the essentials of cybersecurity preparedness in this first episode of the CCO Buzz - Cybersecurity Preparedness for Financial Institutions.

Duration:00:02:58