Communicating Regulatory Compliance Matters With Your CEO
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Communicating Regulatory Compliance Matters With Your CEO for July, 2014.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Communicating Regulatory Compliance Matters With Your CEO for July, 2014.… Read More
A new initiative with the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) is aimed at registered investment advisers who have never undergone examination by the SEC. According to a February 20, 2014 press…
Earlier this month Reuters issued a special report detailing confidential documents from investigations by two U.S. Attorney offices into violations by HSBC of the Bank Secrecy Act and other anti-money laundering laws. In April 2003 the Federal Reserve Bank of…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Best Practices For The Due Diligence Process in April, 2010.… Read More