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
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in Seattle on February 20, 2020.… Read More
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in San Francisco on February 12, 2020.… Read More
There’s a lot in the SEC’s 507 pages detailing its first major revision of its IA advertising rules in nearly 60 years. If you haven’t had a chance to comb through the release, register for our free December webinar to … Read More
Robert Boeche and James Smith will present on Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS for NSCP’s Webinar November 21, 2019.… Read More
Michelle L. Jacko will be speaking at the Charles Schwab IMPACT 2019 conference, November 4-7, 2019.… Read More
Michelle L. Jacko will present on Supporting Women in Compliance with co-speakers Hope Brown and Deborah Goldstein at the 2019 National Society of Compliance Professionals (NSCP) National Conference on October 21, 2019.… Read More