CEO Michelle Jacko‘s recent article, “What to Expect During an SEC Formal Investigation,” was published in the June 2026 issue of the NSCP Currents Newsletter. In the article, she explores the role of the SEC’s Division of Enforcement and their … Read More
March 18-20 | 2026 Investment Adviser Compliance Conference | Washington, D.C. | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is excited to be returning to this year’s IAA Investment Adviser Compliance Conference! The event will take place from March … Read More
For investment advisers, compliance is more than just a regulatory requirement — it’s a critical safeguard for the firm’s integrity, client relationships, and long-term viability. From the moment a firm registers with the U.S. Securities and Exchange Commission (SEC), it … Read More
March 5-7 | 2025 Investment Adviser Compliance Conference | Washington, D.C. | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s IAA Investment Adviser Compliance Conference! The event will take place from March … Read More
November 19-21, 2024 | Schwab IMPACT 2024 | San Francisco, CA | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s Schwab IMPACT Conference! Schwab IMPACT 2024 will take place from November … Read More
CEO Michelle Jacko’s article, “Off-Channel Communication: How to Comply with Regulatory Expectations,” was published by SmartBrief in September 2024. In the article, Michelle discusses some of the recent enforcement actions related to off-channel communication, and considerations for investment managers … Read More
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko We are excited to announce that Michelle L. Jacko will be speaking at the 2024 National Society of Compliance Professionals (NSCP) Annual National Conference, from October … Read More
October 27- 30, 2024 | 2024 Raymond James EMPOWER Conference | Chicago, IL | Speaker: Michelle L. Jacko, CSCP, CEO We are excited to announce that CEO Michelle L. Jacko will be back at this year’s EMPOWER Conference hosted … Read More
September 19, 2024 | 2024 Schwab Fall Compliance Update | Virtual | Speaker: Michelle L. Jacko, CSCP, CEO
June 13, 2024 | InvestmentNews – goRIA MasterClass | Speaker: Michelle L. Jacko, CSCP, CEO