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

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.

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

Disclosures | Risk Management Updates (RMU)

Investment Companies: Fund Compliance Reminders

August 1, 2007 by Michelle Jacko

Aug. 2007

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

Due Diligence | Risk Management Updates (RMU)

Protecting Yourself—Errors and Omissions Insurance: The Must Have Insurance for Every Firm and Individual

April 1, 2007 by Michelle Jacko

April 2007

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

Annual Review | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)

Top 10 List for Investment Adviser Annual Reviews

March 1, 2007 by Michelle Jacko

March 2007

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

Risk Management Updates (RMU)

Implementing Compliance Technology Solutions

February 1, 2007 by Michelle Jacko

Feb 2007

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

Annual Review | Broker-Dealers | Risk Management Updates (RMU)

Top 10 List for Broker-Dealer Annual Reviews

January 1, 2007 by Michelle Jacko

Jan. 2007

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