Common Compliance Violations Seen in 2018
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Common Compliance Violations Seen in 2018 in September, 2018.… Read More
Practical Steps for Assessing Risks
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Practical Steps for Assessing Risks in August, 2017.… Read More
Annual Reviews & Risk Assessments | Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel
2016 SEC Enforcement Cases: A Year In Review
The Legal Tip for Jacko Law Group titled 2016 SEC Enforcement Cases: A Year In Review was written in December, 2016.… Read More
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
New Initiative at SEC’s OCIE Targets RIAs with No Examination Experience
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…
Reuters Releases Report Detailing HSBC’s Deficient Policing of Money Laundering Risks
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…
Best Practices For The Due Diligence Process
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Best Practices For The Due Diligence Process in April, 2010.… Read More
Annual Reviews & Risk Assessments | Industry Publications | Investment Adviser Regulatory Counsel (SEC & State)
Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months
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