March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, Esq. With the SEC’s new advertising rule in effect, is your firm prepared for the possibility of an examination? Ensure your firm is ready by attending … Read More
March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be speaking at NSCP’s Educational Seminar on March 21, 2023. Michelle will present on, … Read More
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More
March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, Managing Partner
Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
On March 16, 2022 Managing Partner Michelle Jacko will be speaking on “Navigating the Various Standards of Care/Conduct,” for the 2022 NSCP Virtual Educational Seminar.… Read More
The first few months of 2021 have marked a clear shift in how the U.S. Securities and Exchange Commission (SEC) could soon start holding corporations to a much higher standard of accountability for actions that harm investors. A central theme of the SEC’s emerging mindset, as stated in a March 9, 2021, speech by Commissioner Caroline Crenshaw is the belief that corporate culture comes from the top and there is a strong need to incentivize companies to foster a culture of compliance, not misconduct.
A recent enforcement action by the U.S. Securities and Exchange Commission (“SEC”) provides valuable insight for firms seeking to prevent improper recognition of revenue, a common type of accounting fraud regulators contend with each year.
If you ask the U.S. Securities and Exchange Commission (SEC) which two things Chief Compliance Officers (CCOs) could benefit from most in the coming year, you might be surprised that time and money aren’t at the top of the list.