Compliance Expectations for 2021 (Part 2)
Michelle L. Jacko will present on "Compliance Expectations for 2021 (Part 2)" for an exclusive Charles Schwab web series on March 17, 2021. … Read More
Michelle L. Jacko will present on "Compliance Expectations for 2021 (Part 2)" for an exclusive Charles Schwab web series on March 17, 2021. … Read More
Michelle L. Jacko will present on "Be in the Know: SEC Examination Priorities (Part 1)" for an exclusive Charles Schwab web series on February 17, 2021. … Read More
Michelle L. Jacko will present on Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021 for a Schwab Compliance Webinar on February 25, 2021.… Read More
Michelle L. Jacko will present on The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight at a Regulatory Compliance Watch Webinar on February 2, 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
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
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
Michelle L. Jacko will present on Creating Effective Oversight Structures for Investment Advisers with co-speaker Jason Albino at the 2020 National Society of Compliance Professionals (NSCP) National Conference on October 20, 2020.… Read More
David M. Sobel will present on Compliance Training When Regulations Change and Conducting Effective Branch Audits at the NRS Spring 2020 Compliance Conference on April 20-22, 2020.… Read More
Michelle L. Jacko presented on Life Cycle of an SEC Examination at the 2020 IAA Investment Adviser Compliance Conference on March 6, 2020.… Read More