March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
I don’t know about you, but many compliance professionals find regulatory examinations to be daunting and at times even a little scary. I don’t know anyone that enjoys exams or looks forward to a regulator looking under the hood and … Read More
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO
Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues. The program was … Read More
Investment professionals registered with one or more states have two basic regulatory challenges: managing differences in securities regulations from one jurisdiction to another and affording the resources needed to remain in compliance with the required regulations. Both challenges can be … Read More
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
In its recently issued annual report on state-registered investment advisers, the North American Securities Administrators Association (NASAA) was straightforward about the steps it believes advisers should be taking to create a culture of compliance in today’s rapidly changing regulatory environment. … Read More
CEO Michelle Jacko‘s article, “Why Advisory Fees and Expenses Remain a Continued Regulatory Focus,” was published in the January 2021 edition of the National Society of Compliance Professionals’ Currents newsletter.
2021 IAA Investment Adviser Compliance Conference | March 4, 2021 | Speakers: Michelle L. Jacko
Schwab Compliance Webinar | February 25, 2021 @ 1:00pm to 2:00pm PT | Speakers: Michelle L. Jacko