Jacko Law Group, PC managing partner and CEO Michelle Jacko will be speaking at the 2023 Schwab Impact Conference held in Philadelphia on October 26, 2023, where she will discuss, “How to Comply with the Latest SEC Rules and Prepare for Year End.” She will touch on several key items including:
- Compliance frameworks for protecting client information and assets per new rule proposals
- Best practices for handling the latest compliance hot topics, including cybersecurity, electronic communications, and the SEC’s Adviser Marketing Rule
- How to prepare for an SEC examination based on 2023 Risk Alerts
- Practical tips for implementing compliance program enhancements and controls by year-end
For more information and to register for the event, please visit IMPACT 2023 (schwab.com).