Michelle L. Jacko presented on Establishing a Culture of Compliance and Risk Management for Competitive Business Advantage at the Schwab Knowledge Forum on February 19, 2014.… Read More
Michelle L. Jacko presented on Establishing Compliance and Risk Management for Competitive Business Advantage at the Schwab Knowledge Forum on January 23, 2014 in Portland, OR. … Read More
Michelle L. Jacko presented on Building a Culture of Compliance for Competitive Advantage at Schwab IMPACT on November 13-16, 2012 in Chicago, IL. … Read More
In a speech given in late April, Peter Driscoll, Director of the Office of Compliance Inspections and Examinations (OCIE), discussed the importance of cooperation among compliance officers, senior management, and the OCIE to promote compliance and more effectively protect…
Michelle L. Jacko wrote the article titled Recent SEC Administrative Proceedings Point to Liability Issues Facing CEOs of Financial Firms which was published in the San Diego County Bar Association (SDCBA) Newsletter in September, 2014. … Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Communicating Regulatory Compliance Matters With Your CEO for July, 2014.… Read More
Last month, the Securities and Exchange Commission’s (“SEC”) Chairwoman Mary Jo White caused a stir within the advisory industry when she issued a speech stating that the SEC will begin zeroing in on “minor infractions” of investment advisers. This past…
Recent settlements continue to show how regulators are cracking down on Anti-Money Laundering (“AML”) violators of all shapes and sizes. This week HSBC, Europe’s largest bank by market value, agreed to a settlement after facing accusations it transferred funds through…
With its new whistleblower program officially becoming effective on August 12, 2011, the SEC launched a new webpage for people to report violations of the federal securities laws and apply for a financial award. Prior to the enactment of the…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Developing Internal Reporting Mechanisms In The Wake Of The Whistleblower Incentive Program in September, 2010.… Read More