Culture of Compliance Archives

Michelle Jacko to Speak at the InvestmentNews goRIA Masterclass

April 26, 2024 by Jacko Law Group, PC

Jacko Law Group Managing Partner Michelle Jacko will discuss Compliance: What You Need to Know to Get Your RIA Registered and To Keep It in Compliance at the goRIA MasterClass hosted by InvestmentNews. This virtual event will be held on June 13, 2024. … Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak at the NSCP Interactive Compliance Labs, Long Beach

February 28, 2024 by Jacko Law Group, PC

Jacko Law Group Managing Partner Michelle Jacko will speak on Risk Management Beyond Assessment at the National Society of Compliance Professionals (NSCP) Interactive Compliance Labs. The event will be held on April 18, 2024, at the Pointe, California State University, Long Beach. … Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak at the 2024 IAA Compliance Conference

February 22, 2024 by Jacko Law Group, PC

Jacko Law Group Managing Partner Michelle Jacko will speak at the 2024 IAA Compliance Conference on Compliance 101, touching on key topics such as, best practices in cultivating a comprehensive compliance program, managing risk, conflicts of interest and more. … Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak for NSCP Educational Seminar

February 8, 2023 by M. Jacko

March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be speaking at NSCP’s Educational Seminar on March 21, 2023. Michelle will present on, … Read More

Why Intellectual Property is Important and What it Means for Your Business

Blog | Corporate Counsel | Outsourced-General Corporate Counsel

Leveraging Your Outsourced Corporate Counsel

June 9, 2022 by Alicia Bond

Leveraging Your Outsourced Corporate Counsel There never is a “wrong” time to hire outsourced corporate counsel, as every firm’s needs, strategy, and growth model is different. Businesses, firms, and leaders can leverage outsourced corporate counsel to handle general counsel matters, … Read More

Blog | Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Corporate & Business Formation | Corporate Counsel | Outsourced-General Corporate Counsel

How Often Should You Meet with Your Corporate Counsel Attorney?

May 5, 2022 by Jeremiah Baba Pagano

Operating successfully requires effort from various areas of business such as accounting, information technology, investing and human resources. Companies also benefit from the insight of a professional familiar within their industry, including the laws, restrictions, and other regulations to keep … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Three Steps to take for a Positive SEC Examination Experience

April 7, 2022 by Jacko Law Group, PC

Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More

Blog | Regulatory Compliance

How Chief Compliance Officers Can Achieve Empowerment and Authority at Investment Advisory Firms

December 17, 2020 by M. Jacko

If you ask the U.S. Securities and Exchange Commission (SEC) which two things Chief Compliance Officers (CCOs) could benefit from most in the coming year, you might be surprised that time and money aren’t at the top of the list.