How to Prepare For and Survive an SEC Examination
Michelle L. Jacko presented on How to Prepare For and Survive an SEC Examination at the Tamarac Annual User Conference on September 15-16, 2011 in Seattle, WA.… Read More
CCO Liability
Michelle L. Jacko presented on CCO Liability at the ACA Compliance Conference on September 13, 2011 in Scottsdale, AZ.… Read More
Practical Guidance to Testing and Oversight
Michelle L. Jacko presented on Practical Guidance to Testing and Oversight at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on June 13, 2011 in Toronto, Canada.… Read More
Knowing the CCO’s Responsibilities
Michelle L. Jacko presented on Knowing the CCO’s Responsibilities for the Investment Advisor (IA) Week Webinar on May 3, 2011.… Read More
Marketing Advisory Services and Protection of Client Records and Information
Michelle L. Jacko presented on Marketing Advisory Services and Protection of Client Records and Information at the Ascendant Compliance Conference on March 31, 2011 in Naples, FL.… Read More
The Effect of Regulatory Changes for Investment Advisor
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
Annual Review
Michelle L. Jacko presented on Annual Review at the Investment Advisers Association (IAA) Investment Adviser Compliance Conference on March 10, 2011 in Arlington, VA.… Read More
Code of Ethics
Michelle L. Jacko presented on Code of Ethics at the ACA’s 2011 Spring Compliance Conference on March 4, 2011 in Orlando, FL.… Read More
IA Examinations Process
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
The Dodd-Frank Act
Michelle L. Jacko presented on The Dodd-Frank Act at the San Diego National Association of Personal Financial Advisors (NAPFA) on February 10, 2011 in La Jolla, CA.… Read More