Considerations for Advisers with Individual Clients
Michelle L. Jacko presented on Considerations for Advisers with Individual Clients for the Investment Adviser Association (IAA) on March 15-16, 2018 in Washington, D.C.… Read More
Michelle L. Jacko presented on Considerations for Advisers with Individual Clients for the Investment Adviser Association (IAA) on March 15-16, 2018 in Washington, D.C.… Read More
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
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
Michelle L. Jacko presented on Aging Clients and the Investment Advisory Practice at the Investment Adviser Association (IAA) Webinar on January, 28, 2016.… Read More
Michelle L. Jacko presented on Trading Practices and Challenges of Investment Advisers for Ascendant on April 1, 2014 in Savannah, GA.… Read More
Michelle L. Jacko presented on The Effect of Regulatory Changes for Investment Advisor for Charles Schwab on March 17, 2011 in Beverly Hills, CA and Pasadena, CA.… Read More
Michelle L. Jacko presented on IA Examinations Process at the National Society of Compliance Professionals’ (NSCP) West Coast Regional Membership Meeting on February 28, 2011 in Los Angeles, CA.… Read More
Michelle L. Jacko presented on How to Survive & Thrive During your Next SEC Exam for the Investment Advisor (IA) Webinar, on August 12, 2008 in.… Read More
Michelle L. Jacko presented on Managing and Surviving an SEC Review at the Financial Research Associates Fourth Annual Fund of Funds Business Operations Forum on May 16-17, 2008 in New York, NY.… Read More
In August 2016, the SEC adopted amendments to Form ADV Part 1A, pursuant to Final Rule Release No. IA-4509 (Form ADV and Investment Advisers Act Rules). These changes are designed to provide additional information related to an advisers’ separately…