SEC Expectations for Cybersecurity Incident Response Plans
Michelle L. Jacko presented on SEC Expectations for Cybersecurity Incident Response Plans at the Schwab Impact 2017 Meeting on November 14-17, 2017 in Chicago, IL.… Read More
Handling Aging Client Issues
David Sobel presented on Handling Aging Client Issues at the Investment Advisor (IA) Compliance Meeting on November 2, 2017 in Los Angeles, CA.… Read More
Compliance Risk and Governance in Today’s World
Michelle L. Jacko presented on Compliance Risk and Governance in Today’s World at the National Society of Compliance Professionals’ (NSCP) National Conference on October 16-18, 2017 in Washington, D.C.… Read More
Creating a Business and Compliance Risk Inventory
Michelle L. Jacko presented on Creating a Business and Compliance Risk Inventory at the Ascendant Compliance Management Conference on October 10-12, 2017 in Napa, CA.… Read More
Vulnerable Investors
Michelle L. Jacko presented on Vulnerable Investors at the National Society of Compliance Professionals’ (NSCP) West Coast Regional Conference on April 24, 2017 in Newport Beach, CA.… Read More
Considerations for Advisers with Aging Clients
Michelle L. Jacko presented on Considerations for Advisers with Aging Clients at the IAA Investment Adviser Compliance Conference on March 2-3, 2017 in Washington, D.C.… Read More
Fall Compliance Workshop
Michelle L. Jacko presented at the Investment Adviser Association (IAA) Fall Compliance Workshop on November 29, 2016.… Read More
Effective Testing Ideas for Your Annual Review
Michelle L. Jacko presented on Effective Testing Ideas for Your Annual Review at the on Annual Core Compliance & Legal Services (Core Compliance) Compliance Symposium November 3, 2016 in Anaheim, CA.… Read More
Regulatory Examinations
Michelle L. Jacko presented on Regulatory Examinations at the National Society of Compliance Professionals’ (NSCP) National Conference on October 16-19, 2016 in Washington, D.C.… Read More
Life Stages of Your Business
Michelle L. Jacko presented on Life Stages of Your Business at the Financial Services Network (FSN) Conference on October 5-6, 2016 in San Mateo, CA.… Read More