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PRACTICE AREAS

• Investment adviser, broker-dealer, hedge fund and private fund compliance consultation
• Contracts, registration and disclosure documents, including client agreements, client profiles and investment policy statements, Forms ADV and BD, written supervisory procedures, compliance manuals and Codes of Ethics
• Business continuity testing, fraud detection, Regulation S-P and advertising reviews
• Compliance program reviews, mock SEC examinations and internal control evaluations
• Compliance education and training

Michelle L. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm which offers compliance services to broker-dealers, registered investment advisers, hedge/private funds, banks, investment companies, and financial professionals.  In addition, Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a securities law firm which offers securities and general corporate legal services on a nationwide basis.

Ms. Jacko specializes in investment adviser, broker-dealer and private fund formations, regulatory compliance, mergers and acquisitions, operational risk management, and business transitions, with emphasis on securities regulations. Her consultation practice is focused on the areas of policies and procedures, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, soft dollar arrangements, best execution, separation agreements and much more.  In 2006, Ms. Jacko was named as a Top 20 Rising Star for “Who’s Who” in Upcoming Compliance Professionals by Compliance Reporter magazine.

Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services, Corporation (Linsco/Private Ledger). Ms. Jacko also served as 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. In addition, Ms. Jacko 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 and B.A., International Relations, from the University of San Diego.  She is admitted to the State Bar of California and United States District Court, Southern District of California. Michelle is a past two-term board member for the National Society of Compliance Professionals (NSCP), holds NSCP’s Certified Securities Compliance Professional (CSCP) designation, and is an active member of the Membership and CSCP Marketing Committees.

Michelle frequently authors industry articles and presents at conferences throughout the nation. She is Vice-President and co-founder of the Southern California Compliance Group and is involved in the American Bar Association (Business Law Section), State Bar of California, and San Diego County Bar Association where she serves as Vice Chair of its Business Law Section. She also is a Member of the FINRA Board of Arbitrators.          

EDUCATION

BAR AND COURT ADMISSIONS

PROFESSIONAL AFFILIATIONS & CERTIFICATIONS

Board Member, National Society of Compliance Professionals
Speaker’s Bureau Chair, Southern California Compliance Group
Advisory Committee and Member, San Diego County Bar Association
Member, American Bar Association
Member, State Bar of California
Member, FINRA Arbitrator
Certified Securities Compliance Specialist (sponsored by NSCP)