Michelle Jacko, Author at Core Compliance - Page 4 of 5

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

Investment Adviser | Risk Management Updates (RMU)

Investment Adviser State Registration and De Minimus Exemption

April 1, 2009 by Michelle Jacko

April 2009

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

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

There’s Something about Mary: An Introduction to SEC Chairman Mary Shapiro and What to Expect During Her Term

March 1, 2009 by Michelle Jacko

March 2009

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

Regulatory Examinations | Risk Management Updates (RMU)

They’re Coming – Preparing for Your Next Regulatory Examination

January 1, 2009 by Michelle Jacko

Jan. 2009

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

Risk Management Updates (RMU)

The Importance of E-Mail Controls

December 1, 2008 by Michelle Jacko

Dec. 2008

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

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

Fund Managers Should Actively Review Disclosures and Portfolio Mandates

September 1, 2008 by Michelle Jacko

Sept. 2008

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

Disclosures | Risk Management Updates (RMU)

Hedge Fund Best Practices

June 1, 2008 by Michelle Jacko

June 2008

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

Disclosures | Risk Management Updates (RMU)

Newly Proposed Changes to Regulation S-P

May 1, 2008 by Michelle Jacko

May 2008

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

Broker-Dealers | Disclosures | Risk Management Updates (RMU)

Approaching the Heightened Standards in Offering Investment Tools to Service Members

December 1, 2007 by Michelle Jacko

Dec. 2007

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

Risk Management Updates (RMU)

Explanation and Assessment of the Newly Proposed Uniform Privacy Policy

October 1, 2007 by Michelle Jacko

Oct. 2007

Michelle Jacko

Disclosures | Publications

Legal and Regulatory Considerations for Going Independent

September 4, 2007 by Michelle Jacko

CEO Michelle Jacko’s article, “Legal and Regulatory Considerations for Going Independent,” was published by Charles Schwab in September 2007.

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