SEC Examinations | Michelle Jacko
SEC Examinations | Michelle Jacko… Read More
SEC Examinations | Michelle Jacko… Read More
Michelle L. Jacko and Kris Gruben wrote the article titled Practical Tips for an Investment Adviser Code of Ethics which was published in the Thomson Reuters Accelus November 2011 issue. … Read More
Michelle L. Jacko wrote the article titled Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models which was published in the Charles Schwab Compliance Review’s May 2011 issue. … Read More
Michelle L. Jacko published the article titled The New Merrill Lynch Guidelines in the Bank Advisor Magazine’s January/February 2008 publication. … Read More
Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More
Michelle L. Jacko published the article titled Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months in the National Society of Compliance Professionals (NSCP) Currents’ March/April 2006 publication. … Read More
Michelle L. Jacko presented on SEC Examinations at the Charles Schwab Compliance Solutions 2018 National Conference on May 10, 2018 in San Antonio, TX.… Read More
Michelle L. Jacko presented on SEC Hot Topics for the National Society of Compliance Professionals (NSCP) on May 3-4, 2018 in San Francisco, CA.… Read More
Michelle L. Jacko presented on Regulatory Examinations at the National Society of Compliance Professionals’ (NSCP) National Conference on October 16-19, 2016 in Washington, D.C.… Read More
Michelle L. Jacko presented on Deciphering the Latest SEC Document Request List for Ascendant on September 29, 2015.… Read More