Director of Operations and Counsel Kathryn Konzen, Esq. explores the vulnerabilities to cyberattacks in the financial sector in the article titled “Cybersecurity: Regulatory Compliance, Attacks, and Risk Mitigation,” published in GRC Outlook. The article offers insight into why the sector remains a target for cybercriminals and how to mitigate cyber risks.… Read More
Managing Partner Michelle L. Jacko explores the recent amendments to Regulation S-P in the October 2024 issue of the NSCP Currents Newsletter.… Read More
Director of Operations and Counsel Kathryn Konzen, Esq. explores the vulnerabilities to cyberattacks in the financial sector in the article titled “Cybersecurity: Regulatory Compliance, Attacks, and Risk Mitigation,” published in GRC Outlook. The article offers insight into why the sector remains a target for cybercriminals and how to mitigate cyber risks.… Read More
Managing Partner Michelle Jacko’s article, “SEC EXAMS for RIAs: What you Need to Know to Prepare” published in the NSCP Currents… Read More
Managing Partner, Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter.… Read More
Managing Partner Michelle L. Jacko‘s article, “Legal and Regulatory Considerations for Going Independent,” has been published as an industry white paper in conjunction with Charles Schwab & Co., Inc.… Read More
Managing Partner, Michelle Jacko’s article, “How to Address Change Management,” was published in the September 2022 issue of the NSCP Currents Newsletter.… Read More
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Michelle L. Jacko wrote the article titled Why Advisory Fees and Expenses Remain a Continued Regulatory Focus which was published in the National Society of Compliance Professionals (NSCP) Currents’ January, 2021 issue. … Read More