March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
2022 Regulatory Compliance Watch Webinar | March 22, 2022 | Speakers: Michelle L. Jacko
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko
On December 22, 2020, the Securities and Exchange Commission (“SEC”) released the final rule that will govern investment adviser advertisements and payments to solicitors.[1] Deemed by the securities industry as the “New Marketing Rule”, its main purpose is to modernize … Read More
On episode 88 of the CCO Buzz, Core Compliance discusses what your firm should be thinking about now to prepare for the New Marketing Rule.
Many investment advisers eagerly await the new opportunities created by the SEC’s New Marketing Rule. With a mandatory effective date of November 4, 2022, many advisers have begun to take steps to explore how they can change their marketing efforts … Read More
Schwab Compliance Web Event | March 17, 2021 | Speakers: Michelle L. Jacko
CEO Michelle Jacko‘s article, “Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?,” was published in the February 2021 issue of IAA’s Newsletter. In the article, Michelle discusses the evolving SEC guidance … Read More
Regulatory Compliance Watch Webinar | February 2, 2021 @ 11:00am to 12:00pm PT | Speakers: Michelle L. Jacko