PRACTICE AREAS
- Investment advisory, investment company, hedge fund and broker-dealer regulatory
compliance - Broker-Dealer and Investment Adviser Formation, including registration and filings
- Advisory Contracts, including investment management agreements, sub-advisory
agreements, written policy statements and solicitor’s agreements - Compliance program reviews, mock SEC examinations and internal control evaluations
- Compliance Education and Training
- Michelle L. Jacko, Esq. is the Founder and CEO of Core Compliance & Legal Services, Inc.
(CCLS) a securities, legal and compliance services firm. In addition, Ms. Jacko also serves
as Of Counsel for Shustak & Partners’ San Diego and New York offices.
- Ms. Jacko specializes in broker-dealer and investment advisory counsel on compliance
and securities law, specifically focusing on compliance risk management, contract
negotiations, policies and procedures, testing of compliance programs (including
evaluation of internal controls and supervision), performance advertising, soft dollar
arrangements, best execution and more. Michelle has drafted Codes of Ethics and
personal trading procedures; disclosures within Forms ADV; formed broker-dealers and
investment advisers; implemented and provided "best practice" recommendations for
surveillance systems; and managed disaster recovery efforts. Her other specialty areas
include advisory contracts, investment management agreements, sub-advisory
agreements, written policy statements, solicitor's agreements, mock SEC examinations,
internal control evaluations and compliance education and training. She also specializes
in transitioning advisers to their own Investment Adviser and hedge fund.
Prior to CCLS, Michelle was Vice President of Compliance and Branch Manager of the
Home Office Supervision team at LPL Financial Services, Corporation (Linsco/Private
Ledger). Previously, she was Legal Counsel of Investments and Chief Compliance Officer
at First American Trust, FSB and held the position of Compliance Manager at Nicholas-
Applegate Capital Management. Before that Michelle was with PIM Financial Services, Inc.,
and Speiser, Krause, Madole & Mendelsohn, Jackson. Ms. Jacko received her J.D. from St.
Mary’s University School of Law (1996) and B.A., International Relations, from the University
of San Diego (1993). She is admitted to the State Bar of California and United States
District Court, Southern District of California. Michelle is a former board member for the
National Society of Compliance Professionals (NSCP) and serves on the IA Resource
Committee and Test Development Committee for NSCP’s Compliance Officer Certification
Program.
Michelle frequently authors industry articles, including her own contributing column in Bank
Advisor Magazine, and presents at conferences throughout the nation. She is Vice
President of the Southern California Compliance Group (past President of the San Diego
Compliance Group 2002 and 2003) and is involved in the American Bar Association
(Business Law Section), State Bar of California and San Diego County Bar Association.
EDUCATION
J.D., St. Mary’s University School of Law, 1996
B.A. International Relations, University of San Diego, 1993
Degree awarded Cum Laude
BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California
PROFESSIONAL AFFILIATIONS
American Bar Association
State Bar of California
San Diego County Bar Association
Board Member, National Society of Compliance Professionals
Vice President, Southern California Compliance Group
Member, FINRA Board of Arbitrators
- AWARDS
In 2006, Ms. Jacko was named as a Top 20 Rising Star for “Who’s Who” in Upcoming
Compliance Professionals by Institutional Investor News' Compliance Reporter magazine.
Ms. Jacko is also an honored member of Cambridge's Who's Who of executives and
professionals.
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| Michelle L Jacko, Esq. Founder and CEO |
Core Compliance & Legal Services, Inc.
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