Advertising & Marketing Compliance
Michelle L. Jacko presented on Advertising & Marketing Compliance at the FRA Investment Adviser Compliance Conference on February 1, 2010 in New York, NY.… Read More
Michelle L. Jacko presented on Advertising & Marketing Compliance at the FRA Investment Adviser Compliance Conference on February 1, 2010 in New York, NY.… Read More
Michelle L. Jacko presented on Adviser Issues in the Institutional and Retirement Marketplaceat the NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference on November 3-6, 2009 in Las Vegas, NV.… Read More
Michelle L. Jacko presented on Compliance Programs and IA Regulatory Panel at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 4-7, 2009 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Staying on the Right Side of the Compliance Line with Performance Advertising and Marketing at the IA Compliance Fall Conference on September 21, 2009 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Taking Action in Uncertain Times -Compliance Panel at the Professional Association for Investment Communication Resources on September 15, 2009 in New York, NY.… Read More
Michelle L. Jacko presented on Investment Adviser Compliance Overview, Privacy Considerations and Regulation S-P Amendments at the National Society of Compliance Professionals’ (NSCP) National Membership Meeting on October 20-22, 2008 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on New Form ADV Part 2 Most Difficult Disclosure Issues Revealed at the IA Week Fall Conference on September 23, 2008 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Form ADV, Dramatic Change Ahead at the National Regulatory Services 23rd Annual Spring Compliance Conference on May 12-15, 2008 in Miami, FL.… Read More
The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive “insider” information he discovered while staying at the residence of a long-time…
The developing market of virtual currencies and online trading continues to present difficulties for the financial investment industry. In late April 2019, the Securities and Exchange Commission (SEC) released an investor alert that advised extreme caution surrounding digital asset…