Tips and Trends to Help Advisers Prepare for SEC Examinations
Michelle L. Jacko will present on Tips and Trends to Help Advisers Prepare for SEC Examinations for the 2021 IAA Investment Adviser Compliance Conference on March 4, 2021.… Read More
Michelle L. Jacko will present on Tips and Trends to Help Advisers Prepare for SEC Examinations for the 2021 IAA Investment Adviser Compliance Conference on March 4, 2021.… Read More
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.
It’s that time of year again for many investment advisory firms when Compliance departments often spend the end of the calendar year reviewing their policies and procedures to meet the annual requirements set forth in Rule 206(4)-7, better known as the “Compliance Rule” under the Investment Advisers Act of 1940.
Managing Partner and CEO Michelle L. Jacko has been selected for the "San Diego 500 Influential Business Leaders" list by the San Diego Business Journal. According to the San Diego Business Journal, the SD 500 is a through list of … Read More
Michelle L. Jacko will present on Ask the Experts: Smaller Firms Up to $10 Billion RAUM at the Investment Adviser Association’s 2020 Virtual Compliance Workshop.… Read More
Managing Partner and CEO Michelle L. Jacko has been honored as a finalist for the "Business Women of the Year Awards 2020" by the San Diego Business Journal. According to the San Diego Business Journal, this award "recognizes dynamic women … Read More
Managing Partner and CEO Michelle L. Jacko has been selected as a finalist for the "Leaders in Law Awards 2020" by the San Diego Business Journal.
Managing Partner and CEO Michelle L. Jacko has been honored as a finalist for the "CEO of the Year Awards 2020" by the San Diego Business Journal.
Manaing Partner & CEO Michelle Jacko’s article, How to Improve Your Compliance Program, was published in the October 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner Newsletter.… Read More
Michelle L. Jacko will present on Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices for NSCP’s Webinar on September 17, 2020.… Read More