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
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
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
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
With the passing of every month, the investment industry sees another round of enforcements involving the mishandling of initial coin offerings (“ICOs”). The still nascent landscape of cryptocurrency investing continues to pose significant difficulties for investors, firms, and regulatory…
The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive “insider” information he discovered while staying at the residence of a long-time…
In yet another case of fraud targeting senior investors, the Securities and Exchange Commission (SEC) has charged William Neil “Doc” Gallagher, a Texas-based man touting himself as “the Money Doctor,” in an emergency action to halt a sizeable Ponzi…
Deloitte Touche Tohmatsu LLC, commonly referred to as Deloitte Japan, has agreed to pay $2 million in settlement charges to the Securities and Exchange Commission (“SEC”) for violating the SEC’s auditor independence rules. According to the SEC, Deloitte Japan…
Michelle L. Jacko wrote the article titled Tips on How to Prepare for Your Next Examination Part 2 which was published in the National Society of Compliance Professionals (NSCP) Currents’ April, 2019 issue. … Read More
Michelle L. Jacko wrote the article titled Tips on How to Prepare For Your Next Examination: Part 1 which was published in the National Society of Compliance Professionals (NSCP) Currents’ March, 2019 issue. … Read More
Michelle L. Jacko wrote the article titled How Risk Alerts Can Help You Prepare for Your Next Examination which was published in the Wolters Kluwer Newsletter in March/April. 2019. … Read More