SEC Exam Priorities
Michelle L. Jacko presented on SEC Exam Priorities for the Investment Advisor (IA) Watch Webinar on March 24, 2015.… Read More
Michelle L. Jacko presented on SEC Exam Priorities for the Investment Advisor (IA) Watch Webinar on March 24, 2015.… Read More
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
Michelle L. Jacko presented on Hot Topics in SEC Exams & How to Prepare at the Core Compliance & Legal Services (CCLS) Webinar on March 6, 2014. … Read More
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
Michelle L. Jacko presented on SEC Examination and Regulatory Hot Topics at the CFA Regional Meeting on June 20, 2013 in San Diego, CA. … 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 How to Survive & Thrive During your Next SEC Exam for the Investment Advisor (IA) Webinar, on August 12, 2008 in.… 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
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
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…