SEC Key Topics—And How to Prepare for an Examination
Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication.
Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication.
Michelle L. Jacko and Kris Gruben wrote the article titled Practical Tips for an Investment Adviser Code of Ethics which was published in the Thomson Reuters Accelus November 2011 issue. … Read More
Michelle L. Jacko wrote the article titled Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models which was published in the Charles Schwab Compliance Review’s May 2011 issue. … Read More
Michelle L. Jacko presented on Passing With Flying Colors – How to Prepare for an SEC Examination at the Core Compliance and Legal Services’ 2019 Annual Core Compliance Workshop on January 28, 2019.… Read More
Michelle L. Jacko presented on Best Practices for Managing Conflicts of Interest at the Chalres Schwab Bay Area CCO Roundtable on December 6, 2018.… Read More
Michelle L. Jacko presented on Investment Advisers, Elder Financial Abuse and the Senior$afe Act at the Investment Adviser Association (IAA) Webinar Series on August 23, 2018.… Read More
Michelle L. Jacko presented on Considerations for Advisers with Individual Clients for the Investment Adviser Association (IAA) on March 15-16, 2018 in Washington, D.C.… Read More
David Sobel presented on Handling Aging Client Issues at the Investment Advisor (IA) Compliance Meeting on November 2, 2017 in Los Angeles, CA.… Read More
Michelle L. Jacko presented on Considerations for Advisers with Aging Clients at the IAA Investment Adviser Compliance Conference on March 2-3, 2017 in Washington, D.C.… Read More
Michelle L. Jacko presented on Aging Clients and the Investment Advisory Practice at the Investment Adviser Association (IAA) Webinar on January, 28, 2016.… Read More