Are Your Employees Risking Your Business?
Michelle L. Jacko wrote the article titled Are Your Employees Risking Your Business? which was published in the Bank Advisor Magazine’s September/October 2008 issue. … Read More
Michelle L. Jacko wrote the article titled Are Your Employees Risking Your Business? which was published in the Bank Advisor Magazine’s September/October 2008 issue. … Read More
Michelle L. Jacko wrote the article titled Privacy Best Practices and Updates on Regulation S-P which was published in the National Society of Compliance Professionals (NSCP) Currents’ November/December 2009 publication. … Read More
Michelle L. Jacko published the article titled The Effects of Regulation S-P on Your Business in the Bank Advisor Magazine’s July/August publication. … Read More
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More
Michelle L. Jacko presented on Developing an Acceptable P&P Manual at the Financial Research Associates, LLC on October 1, 2012 in Philadelphia, PA. … Read More
The proper valuation of client assets is of critical importance for investment advisers. A failure on the part of firms to properly value assets adversely affects key areas of fund operations, including but not limited to: Over or under…
David Sobel wrote a Legal Tip for Jacko Law Group titled WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P. in April, 2019.… Read More
On January 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its Annual Risk Monitoring and Examinations Priorities Letter, which outlined its focus areas for broker-dealer examinations in 2019. While many of these areas are carried over from the…
Information technology continues to provide amazing benefits to our industry, but it also brings with it a number of risks when it comes to compliance. Changes in the way mobile and personally owned devices are being utilized for business…