CCO Liability
Michelle L. Jacko presented on CCO Liability at the ACA Compliance Conference on September 13, 2011 in Scottsdale, AZ.… Read More
Practical Guidance to Testing and Oversight
Michelle L. Jacko presented on Practical Guidance to Testing and Oversight at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on June 13, 2011 in Toronto, Canada.… Read More
Knowing the CCO’s Responsibilities
Michelle L. Jacko presented on Knowing the CCO’s Responsibilities for the Investment Advisor (IA) Week Webinar on May 3, 2011.… Read More
Surviving and Thriving as a CCO
Michelle L. Jacko presented on Surviving and Thriving as a CCO at the ACA Compliance Group on September 22, 2010 in San Diego, CA.… Read More
The New Era of Risk Management: How to Protect Yourself and Your Firm
Michelle L. Jacko presented on The New Era of Risk Management: How to Protect Yourself and Your Firm at the Charles Schwab Conference on June 16, 2010 in Chicago, IL.… Read More
Risk Management Workshop for Small Firms
Michelle L. Jacko presented on Risk Management Workshop for Small Firms at the IAA & ACA Compliance Forum on February 25-26, 2010 in Arlington, VA.… Read More
The Integration of Operations and Business Management
Michelle L. Jacko presented on The Integration of Operations and Business Management Conducting an Effective Annual Review and The New Enhanced Regulation S-P at the Ascendant Compliance Conference on September 17-19, 2008 in San Diego, CA.… Read More
The Next Step in Compliance: The Integration of Operations & Business Management Planning
Michelle L. Jacko presented on The Next Step in Compliance The Integration of Operations & Business Management Planning and Documenting the Annual Review Insights into New Regulatory Developments ADV Part 2 and Other Disclosure Developments at the IMS National Conference on April 9-11, 2008 in New Orleans, LA.… Read More
Safeguarding and Protecting Confidential Client Information
Michelle L. Jacko presented on Safeguarding and Protecting Confidential Client Information at the National Society of Compliance Professionals (NSCP) West Coast Regional Membership Meeting on January 14, 2008 in San Francisco, CA.… Read More
Trading Suspensions — The Causes and Effects
The Securities and Exchange Commission (“SEC”) recently released an investor bulletin to educate investors about trading suspensions…