Dedicated to investor protection and still fully operational nationwide, the SEC’s Office of Compliance Inspections Examinations (“OCIE”) announced that examinations will continue via online and virtual correspondence, in their most recent updated announcement on March 23, 2020.
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.
Blockchain of Things (“BCOT”), a technology company, has agreed to settle charges with the Securities and Exchange Commission (“SEC”) for conducting an initial coin offering (ICO) without registering it as a securities offering or qualifying for any registration exemptions. The settlement requires BCOT to agree to a cease and desist order, pay a $250,000 civil fine, return funds to any investors who file a request, and register the tokens as securities.
Michelle Jacko and Tina Mitchell, wrote the article titled Performing Due Diligence and Oversight of Third-Party Service Providers which was published in the Wolters Kluwer Modern Compliance Volume II in 2017.… Read More
The Securities and Exchange Commission (“SEC”) filed charges against Reginald “Reggie” Middleton and two entities he owns for allegedly committing a fraudulent digital token sale scheme.
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Michelle L. Jacko published the article titled Balancing the roles of CCO and Legal Counsel in the National Society of Compliance Professionals (NSCP) Currents’ January/February 2005 publication. … Read More
Michelle L. Jacko presented on Conducting Due Diligence at the National Society of Compliance Professionals’ (NSCP) Regional on April 23, 2014 in Chicago, IL. … Read More
Michelle L. Jacko presented on Communications with the Public; Conducting Due Diligence at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on March 13, 2014 in San Francisco, CA. … Read More
Michelle L. Jacko presented on Techniques to Improve Your Due Diligence While Avoiding Enforcement Risks at the Investment Advisor (IA) Compliance Best Practices Summit on October 3-4, 2013 in Los Angeles, CA. … Read More