Life Cycle of an SEC Examination
Michelle L. Jacko presented on Life Cycle of an SEC Examination at the 2020 IAA Investment Adviser Compliance Conference on March 6, 2020.… Read More
Michelle L. Jacko presented on Life Cycle of an SEC Examination at the 2020 IAA Investment Adviser Compliance Conference on March 6, 2020.… Read More
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in Seattle on February 20, 2020.… Read More
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in San Francisco on February 12, 2020.… Read More
There’s a lot in the SEC’s 507 pages detailing its first major revision of its IA advertising rules in nearly 60 years. If you haven’t had a chance to comb through the release, register for our free December webinar to … Read More
Robert Boeche and James Smith will present on Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS for NSCP’s Webinar November 21, 2019.… Read More
Michelle L. Jacko will be speaking at the Charles Schwab IMPACT 2019 conference, November 4-7, 2019.… Read More
Michelle L. Jacko will present on Supporting Women in Compliance with co-speakers Hope Brown and Deborah Goldstein at the 2019 National Society of Compliance Professionals (NSCP) National Conference on October 21, 2019.… 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 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