The Effects of Regulation S-P on Your Business
Michelle L. Jacko published the article titled The Effects of Regulation S-P on Your Business in the Bank Advisor Magazine’s July/August publication. … Read More
The Changing Landscape of Disclosure: Proposed Changes to Form ADV Part 2
Michelle L. Jacko wrote the article titled The Changing Landscape of Disclosure: Proposed Changes to Form ADV Part 2 which was published in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2008 publication. … Read More
Do Right By Our Men and Women in Uniform
Michelle L. Jacko’s article, "Do Right by Our Men and Women in Uniform," was published in Bank Advisor Magazine’s March/April 2008 publication. … Read More
The New Merrill Lynch Guidelines
Michelle L. Jacko published the article titled The New Merrill Lynch Guidelines in the Bank Advisor Magazine’s January/February 2008 publication. … Read More
Industry Publications | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel
Best Practices to Use During the SEC Examination
Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More
Developments Under NASD Rule 3012 – Supervisory Control Systems
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Annual Reviews & Risk Assessments | Industry Publications | Investment Adviser Regulatory Counsel (SEC & State)
Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months
Michelle L. Jacko published the article titled Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months in the National Society of Compliance Professionals (NSCP) Currents’ March/April 2006 publication. … Read More
Balancing the Roles of CCO and Legal Counsel
Michelle L. Jacko published the article titled Balancing the roles of CCO and Legal Counsel in the National Society of Compliance Professionals (NSCP) Currents’ January/February 2005 publication. … Read More
Q&A: IARD Conversion
Michelle L. Jacko published the article titled Q&A: IARD Conversion in National Society of Compliance Professionals (NSCP) Currents’ January/February 2001 publication. … Read More
Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers
Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More