Trading Practices and Challenges of Investment Advisers
Michelle L. Jacko presented on Trading Practices and Challenges of Investment Advisers for Ascendant on April 1, 2014 in Savannah, GA.… Read More
Michelle L. Jacko presented on Trading Practices and Challenges of Investment Advisers for Ascendant on April 1, 2014 in Savannah, GA.… Read More
Michelle L. Jacko presented on The Effect of Regulatory Changes for Investment Advisor for Charles Schwab on March 17, 2011 in Beverly Hills, CA and Pasadena, CA.… Read More
Michelle L. Jacko presented on IA Examinations Process at the National Society of Compliance Professionals’ (NSCP) West Coast Regional Membership Meeting on February 28, 2011 in Los Angeles, CA.… Read More
Michelle L. Jacko presented on How to Survive & Thrive During your Next SEC Exam for the Investment Advisor (IA) Webinar, on August 12, 2008 in.… Read More
Michelle L. Jacko presented on Managing and Surviving an SEC Review at the Financial Research Associates Fourth Annual Fund of Funds Business Operations Forum on May 16-17, 2008 in New York, NY.… Read More
In August 2016, the SEC adopted amendments to Form ADV Part 1A, pursuant to Final Rule Release No. IA-4509 (Form ADV and Investment Advisers Act Rules). These changes are designed to provide additional information related to an advisers’ separately…
In December 2015, the Fixing America’s Surface Transportation Act (the “FAST Act”) was signed into law by President Obama. Among other things, sections 74001 and 74002 of the FAST Act amended two provisions of the Investment Advisers Act of…
Robo-advisers are registered financial advisers who use mathematical rules or computer algorithms to provide financial advice or portfolio management online. This recent trend, which requires very little human interaction, has the potential to impact the competitive landscape in the…
On February 2, 2017, the SEC charged Sentinel Growth Fund Management, a Connecticut-based investment advisory business, and its owner with stealing investor money to settle a private lawsuit among other expenditures….
Earlier this month, John Rafal, former president and CEO of Essex Financial Services, Inc., admitted wrongdoing and agreed to pay more than $575,000 in settlement charges. According to the SEC, the Connecticut-based investment adviser defrauded a client, attempted to…