Compliance Programs and IA Regulatory Panel
Michelle L. Jacko presented on Compliance Programs and IA Regulatory Panel at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 4-7, 2009 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Compliance Programs and IA Regulatory Panel at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 4-7, 2009 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Taking Action in Uncertain Times -Compliance Panel at the Professional Association for Investment Communication Resources on September 15, 2009 in New York, NY.… Read More
Michelle L. Jacko presented on Tips to Avoid Compliance Lapses & Web Site Do’s and Don’ts for the IA Week Webinar on October 14, 2008.… Read More
Michelle L. Jacko presented on The Integration of Operations and Business Management Conducting an Effective Annual Review and The New Enhanced Regulation S-P at the Ascendant Compliance Conference on September 17-19, 2008 in San Diego, CA.… Read More
Michelle L. Jacko presented on The Next Step in Compliance The Integration of Operations & Business Management Planning and Documenting the Annual Review Insights into New Regulatory Developments ADV Part 2 and Other Disclosure Developments at the IMS National Conference on April 9-11, 2008 in New Orleans, LA.… Read More
Michelle L. Jacko presented on Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line Business at the Financial Research Associates Marketing & Advertising Compliance Forum from March 27-18, 2008 in New York, NY. … Read More
Michelle L. Jacko presented on Safeguarding and Protecting Confidential Client Information at the National Society of Compliance Professionals (NSCP) West Coast Regional Membership Meeting on January 14, 2008 in San Francisco, CA.… Read More
Affinity fraud occurs when a perpetrator takes advantage of religious or ethnic communities, language minorities, senior citizens, or other identifiable groups.
In a March 26, 2019 press release, the Securities and Exchange Commission (“SEC”) announced awards to two whistleblowers under the Dodd-Frank Act, one receiving $37 million and the other $13 million, whose critical information led to a successful enforcement action…
The Securities and Exchange Commission (“SEC”) recently released an investor bulletin to educate investors about trading suspensions…