Raymond James Conference Features Michelle Jacko
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
Experiences from FINRA Disciplinary Review Panels
“Familiarity breeds contempt” It’s an old saying that proves itself relevant again and again. When looking over the headlines or through the trade publication emails that fill our inboxes, even the most casual observer can find examples of someone whose … Read More
Michelle Jacko to Speak at 2023 NSCP National Conference
October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
Events | Investment Adviser | Performance Advertising | Regulatory Examinations | Securities and Exchange Commission (SEC)
RCW Webinar Featuring CEO Michelle Jacko
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
Tips for Handling Regulatory Examinations: #1 – Tone from the Top
It should come as no surprise that many compliance professionals, no matter how seasoned, find regulatory examinations to be daunting and at times even a little scary. In our experience, we don’t typically hear that compliance officers enjoy the examination … Read More
Red Oak Compliance Conference Featuring Michelle Jacko
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO
Investment Adviser | Regulatory Examinations | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC Compliance Outreach Program: Recap of 2022 Seminar
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
How to Prepare for a State Exam: Tips from a Former Regulator
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
Episode 89: Preparing For a State Exam – Advice From a Former Regulator
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
Ongoing Areas of Focus for State Securities Regulators
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