Regulatory Examinations
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
SEC Exam Priorities
Michelle L. Jacko presented on SEC Exam Priorities for the Investment Advisor (IA) Watch Webinar on March 24, 2015.… Read More
How to Prepare for the SEC
Michelle L. Jacko presented on How to Prepare for the SEC at the Core Compliance & Legal Services (Core Compliance) Annual Compliance Symposium on September 9, 2014 in Beverly Hills, CA.… Read More
Prepare For and Survive an SEC Examination
Michelle L. Jacko presented on Prepare For and Survive an SEC Examination at the Schwab Knowledge Forum on January 30, 2014 in Los Angeles, CA. … Read More
How to Survive a Regulatory Examination
Michelle L. Jacko presented on How to Survive a Regulatory Examination for the Marcum LLP Webinar on April 17, 2012.… Read More
Recent Enforcement Actions Against Advisers
Michelle L. Jacko presented on Recent Enforcement Actions Against Advisers at the Ascendant Compliant Conference on March 5-6, 2012 in San Antonio, TX.… Read More
New Regulatory Examinations & Advertising for Investment Advisers
Michelle L. Jacko presented on New Regulatory Examinations & Advertising for Investment Advisers at the National Society of Compliance Professionals’ (NSCP) National Fall Conference on October 17-19, 2011 in Balitmore, MD.… Read More
How to Prepare For and Survive an SEC Examination
Michelle L. Jacko presented on How to Prepare For and Survive an SEC Examination at the Tamarac Annual User Conference on September 15-16, 2011 in Seattle, WA.… Read More
IA Examinations Process
Michelle L. Jacko presented on IA Examinations Process at the National Society of Compliance Professionals’ (NSCP) West Coast Regional Membership Meeting on February 28, 2011 in Los Angeles, CA.… Read More
Managing and Surviving an SEC Review
Michelle L. Jacko presented on Managing and Surviving an SEC Review at the Financial Research Associates Fourth Annual Fund of Funds Business Operations Forum on May 16-17, 2008 in New York, NY.… Read More