Area of Focus for Your Annual Review: Code of Ethics
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
MetLife, Inc. has agreed to pay a civil penalty of $10 million in order to settle charges from the Securities and Exchange Commission (“SEC”) that it violated the books and records and internal accounting controls provisions of the federal securities laws.
HCR Wealth Advisors agreed to a cease-and-desist order, a $220,000 penalty, and a $328,912 payment to its harmed clients in order to settle charges with the U.S. Securities and Exchange Commission (“SEC”). The SEC complaint alleged that HCR had failed to reasonably supervise and implement its own compliance-related policies and procedures in response to fraudulent actions by one of its former investment advisors.
Michelle L. Jacko published the article titled Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months in the National Society of Compliance Professionals (NSCP) Currents’ March/April 2006 publication. … Read More
Michelle L. Jacko presented on Effective Testing Ideas for Your Annual Review at the on Annual Core Compliance & Legal Services (Core Compliance) Compliance Symposium November 3, 2016 in Anaheim, CA.… Read More
Michelle L. Jacko presented on Conducting an Annual Review and Enterprise Risk Management at the ACA Fall Compliance Conference on October 17-19, 2012 in San Diego, CA. … Read More
Michelle L. Jacko presented on Annual Review at the Investment Advisers Association (IAA) Investment Adviser Compliance Conference on March 10, 2011 in Arlington, VA.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Common Compliance Violations Seen in 2018 in September, 2018.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Practical Steps for Assessing Risks in August, 2017.… Read More
The Legal Tip for Jacko Law Group titled 2016 SEC Enforcement Cases: A Year In Review was written in December, 2016.… Read More