Michelle Jacko, Author at Core Compliance - Page 3 of 5

Michelle Jacko

8 Smart Compensation Practices for Wealth Management Firms

January 4, 2022 by Michelle Jacko

CEO Michelle Jacko was featured in a Barron’s Advisor article titled “8 Smart Compensation Practices for Wealth Management Firms,” on January 4, 2022. “People want to have more say in the direction of their career and in the direction of the … Read More

Incident Response | Investment Adviser | Risk Management Updates (RMU)

Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs

March 20, 2020 by Michelle Jacko

A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More

Investment Adviser | Risk Management Updates (RMU)

The Importance of Best Execution

February 28, 2014 by Michelle Jacko

February 2014

What You Need to Know About M&As and Business Transitions | Core Compliance

Performance Advertising | Risk Management Updates (RMU)

Social Media – The Latest Regulatory Guidance for Compliance Considerations

September 30, 2011 by Michelle Jacko

Sept. 2011

What You Need to Know About M&As and Business Transitions | Core Compliance

Disclosures | Risk Management Updates (RMU)

Where We Are Today with the Dodd-Frank Act

May 26, 2011 by Michelle Jacko

May 2011

What You Need to Know About M&As and Business Transitions | Core Compliance

Form ADV | Risk Management Updates (RMU)

The New Form ADV Part 2: The Next Chapter for Investment Adviser Requirements

August 1, 2010 by Michelle Jacko

Aug. 2010

What You Need to Know About M&As and Business Transitions | Core Compliance

Broker-Dealers | FINRA | Performance Advertising | Risk Management Updates (RMU)

FINRA’s Proposed Amendments to Rule 2210-Communications with the Public

December 1, 2009 by Michelle Jacko

Dec. 2009

What You Need to Know About M&As and Business Transitions | Core Compliance

Risk Management Updates (RMU)

Final Model Privacy Form Adopted by the SEC & Regulation S-P Updates

November 1, 2009 by Michelle Jacko

Nov. 2009

What You Need to Know About M&As and Business Transitions | Core Compliance

Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)

SEC Rule Proposal: Regulating “Pay to Play” Practices

September 1, 2009 by Michelle Jacko

Sept. 2009

What You Need to Know About M&As and Business Transitions | Core Compliance

Disclosures | Risk Management Updates (RMU)

Hedge Fund Compliance & the Aftermath of Goldstein

July 1, 2009 by Michelle Jacko

July 2007

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