Approaching the Heightened Standards in Offering Investment Tools to
Service Members
December 2007
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Service Members
December 2007
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Explanation and Assessment of the Newly Proposed Uniform
Privacy Policy
October 2007
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Investment Companies: Fund Compliance Reminders
August 2007
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Protecting Yourself—Errors and Omissions Insurance: The Must Have
Insurance for Every Firm and Individual
Privacy Policy
October 2007
Read Legal Tip
Investment Companies: Fund Compliance Reminders
August 2007
Read Legal Tip
Protecting Yourself—Errors and Omissions Insurance: The Must Have
Insurance for Every Firm and Individual
Publications
- May 2007 – Charles Schwab – White Paper: Legal Considerations When Transitioning to
Independence (Michelle Jacko)
- May 2007 – National Society of Compliance Professionals (NSCP) - Code of Ethics for the
Compliance Professional (Michelle Jacko co-author)
- March / April 2006 – National Society of Compliance Professionals (NSCP) Currents - Investment
Adviser Compliance Programs: What CCOs Learned In the First 18-Months (Michelle Jacko)
- November 22, 2004 – Compliance Reporter – The CCO & Legal Counsel Role in One (Michelle
Jacko)
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| Newsstand |
July 2007
Read Legal Tip
Protecting Yourself - Errors and Omissions Insurance: The Must Have
Insurance for Every Firm and Individual
April 2007
Read Legal Tip
Top 10 List for Investment Adviser Annual Reviews
March 2007
Read Legal Tip
Implementing Compliance Technology Solutions
February 2007
Read Legal Tip
Top 10 List for Broker-Dealer Annual Reviews
January 2007
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‘Tis the Season for Identity Theft
December 2006
Read Legal Tip
Proxy Voting Policy Reminders
November 2006
Read Legal Tip
Codes of Ethics
September 2006
Read Legal Tip
Best Execution and Use of Soft Dollars
August 2006
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Anti-Money Laundering Programs
July 2006
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Performance Advertising
June 2006
Read Legal Tip
Reviewing Sales Practices
June 2006
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Testing Internal Controls
June 2006
Read Legal Tip
The Importance of Reviewing Investment Management Contracts
May 2006
Read Legal Tip
Read Legal Tip
Protecting Yourself - Errors and Omissions Insurance: The Must Have
Insurance for Every Firm and Individual
April 2007
Read Legal Tip
Top 10 List for Investment Adviser Annual Reviews
March 2007
Read Legal Tip
Implementing Compliance Technology Solutions
February 2007
Read Legal Tip
Top 10 List for Broker-Dealer Annual Reviews
January 2007
Read Legal Tip
‘Tis the Season for Identity Theft
December 2006
Read Legal Tip
Proxy Voting Policy Reminders
November 2006
Read Legal Tip
Codes of Ethics
September 2006
Read Legal Tip
Best Execution and Use of Soft Dollars
August 2006
Read Legal Tip
Anti-Money Laundering Programs
July 2006
Read Legal Tip
Performance Advertising
June 2006
Read Legal Tip
Reviewing Sales Practices
June 2006
Read Legal Tip
Testing Internal Controls
June 2006
Read Legal Tip
The Importance of Reviewing Investment Management Contracts
May 2006
Read Legal Tip
Core Compliance & Legal Services, Inc.
Solutions for Today's Business
Solutions for Today's Business
Top Areas of 2007 Deficiencies Noted by the SEC in San Diego’s CCO
Outreach Program
April 2008
Read Legal Tip
SEC Rules and No-Action Letters Pertaining to
Performance Advertising and Marketing
Read Legal Tip
Performance Advertising and Marketing
Read Legal Tip