CEO Michelle Jacko Selected as a Finalist for SDBJ’s Leaders in Law Awards
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!
Preparing for Year-End – Investment Adviser Compliance Checklist
This year will certainly be one for the history books. The worldwide pandemic continues to impact our country and the way we live. For the financial industry, we have witnessed evolutions and changes of focus in regulatory examinations.
Help Protect Client Accounts by Planning, Practicing and Promoting Proper Cyber Hygiene
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More
NSCP Webinar: Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices
November 12, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Michelle L. Jacko and Robert Hille
Michelle Jacko Selected as Finalist for SDBJ CEO of the Year Awards 2020
CEO Michelle L. Jacko has been honored as a finalist for the “CEO of the Year Awards 2020” by the San Diego Business Journal.
Area of Focus for Your Annual Review: Books and Records
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”). The rule requires SEC-registered investment advisers (“RIAs”) to annually review “the adequacy of the … Read More
A Change in State Oversight Prompts California’s Investment Advisors to Review Their Policies and Procedures
To help strengthen the state’s consumer protection laws and oversight of the financial industry, California has passed legislation that has changed the name of the Department of Business Oversight (DBO) to the Department of Financial Protection and Innovation (DFPI) and … Read More
IAA Compliance Corner: How to Improve Your Compliance Program
CEO Michelle Jacko’s article, “How to Improve Your Compliance Program,” was published in the October 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner Newsletter. In the article, Ms. Jacko provides readers with additional ways to improve their Compliance … Read More
Preparing for the U.S. Department of Labor’s Proposed Clarification on ERISA Proxy Voting
On August 31, 2020, the U.S. Department of Labor (DOL) released a proposal under the Employee Retirement Income Security Act of 1974 (ERISA) to amend fiduciary duties regarding proxy voting and shareholder rights. This particular rule is only in the … Read More
Your Annual Review: Cybersecurity and Privacy
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”). The rule requires SEC-registered investment advisers (“RIAs”) to annually review “the adequacy of the … Read More