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6 Practical Tips to Help Your Team Prepare for an SEC Exam

Charles Schwab

In October 2018, Managing Partner Michelle Jacko's arcticle, "6 Practical Tips to Help Your Team Prepare for an SEC Exam," was published by Charles Schwab. 

"Legal and compliance pro Michelle Jacko offers expert insights to help you prepare your firm for an SEC exam.

Key Points

  • In an increasingly tough and ever-changing regulatory environment, it’s critical that advisors are proactive about keeping up with the latest regulations, from anticipating their implications for real-world scenarios to understanding how to meet the expectations of SEC examiners.

'The regulatory environment has never been tougher than it is today,' says Michelle Jacko, a consultant to investment advisors on issues related to corporate and compliance risk management. As the CEO of Core Compliance and Legal Services and the Jacko Law Group, she knows the types of questions that come up and what SEC examiners expect: 'The level of detail the staff is looking for is really pretty amazing,' she says.

With examiners arriving at the office—and a process that can span weeks—an SEC exam can be nerve-wracking for any firm. To mitigate risk, Jacko recommends taking the time to prep your team." 

To read the full article, click here. 

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