The New Merrill Lynch Guidelines
Michelle L. Jacko published the article titled The New Merrill Lynch Guidelines in the Bank Advisor Magazine’s January/February 2008 publication. … Read More
Michelle L. Jacko published the article titled The New Merrill Lynch Guidelines in the Bank Advisor Magazine’s January/February 2008 publication. … Read More
Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Michelle L. Jacko published the article titled Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months in the National Society of Compliance Professionals (NSCP) Currents’ March/April 2006 publication. … Read More
Michelle L. Jacko published the article titled Balancing the roles of CCO and Legal Counsel in the National Society of Compliance Professionals (NSCP) Currents’ January/February 2005 publication. … Read More
Michelle L. Jacko published the article titled Q&A: IARD Conversion in National Society of Compliance Professionals (NSCP) Currents’ January/February 2001 publication. … Read More
Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More
Michelle L. Jacko presented on 2019 Priorities and Succession/Transition Planning Action at the Charles Schwab- Regulatory Hot Topics- Preparing for 2019 Meeting on February 28, 2019.… Read More
Michelle L. Jacko presented on Practical Guidance to Testing and Oversight at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on June 13, 2011 in Toronto, Canada.… Read More
In late March, 2018, the Certified Financial Planner (CFP) Board of Standards announced the unanimous approval of a new Code of Ethics and Standards of Conduct.
This replaces the current Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards and Terminology for all CFP-licensed professionals.