Listen Up CEOs: Top Things Your CCO Wants You to Know
Michelle L. Jacko wrote the article titled Listen Up CEOs: Top Things Your CCO Wants You to Know which was published by Wolters Kluwer in the September/October 2014 newsletter.… Read More
Recent SEC Administrative Proceedings Point to Liability Issues Facing CEOs of Financial Firms
Michelle L. Jacko wrote the article titled Recent SEC Administrative Proceedings Point to Liability Issues Facing CEOs of Financial Firms which was published in the San Diego County Bar Association (SDCBA) Newsletter in September, 2014. … Read More
Custody Compliance: Creating More Clarity
Michelle L. Jacko wrote the article titled Custody compliance Creating More Clarity which was published in the Charles Schwab Compliance Review in July, 2014. … Read More
Gabelli V. SEC – Us Supreme Court Decision Defines SEC Enforcement Time Table
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Gabelli V. Sec – Us Supreme Court Decision Defines Sec Enforcement Time Table in February, 2014.… Read More
Today’s Social Media Challenges: What Compliance Professionals Need to Know
Michelle L. Jacko wrote the article titled Today’s Social Media Challenges: What Compliance Professionals Need to Know which was published by Wolters Kluwer in September/October 2013. … Read More
Referral Arrangements and Referral Fees: What You Should Consider
Michelle Jacko wrote the article titled Referral Arrangements and Referral Fees: What You Should Consider which was published in the Charles Schwab Compliance Review’s May 2013 publication. … Read More
Investment Adviser Performance Marketing and Advertising – What You Need to Know
Michelle L. Jacko wrote the article titled Investment Adviser Performance Marketing and Advertising – What You Need to Know which was published in the Wolters Kluwer July/August 2012 publication. … Read More
Practical Tips for an Investment Adviser Code of Ethics
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
Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models
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
Understanding the Potential and Limits of Investment Adviser Advertising
Michelle L. Jacko wrote the article titled Understanding the Potential and Limits of Investment Adviser Advertising which was published in the Journal of Securities Law May, 2010 issue. … Read More