Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021
Schwab Compliance Webinar | February 25, 2021 @ 1:00pm to 2:00pm PT | Speakers: Michelle L. Jacko
The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight
Regulatory Compliance Watch Webinar | February 2, 2021 @ 11:00am to 12:00pm PT | Speakers: Michelle L. Jacko
Ask the Experts: Smaller Firms Up to $10 Billion RAUM
IAA’s Compliance Workshop 2020 | December 3, 2020 @ 9:30am to 1:00pm PT | Speakers: Michelle L. Jacko
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
NSCP Webinar: Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond
August 4, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Core Compliance and Nicole Dragoo
NSCP National Conference 2020 | Creating Effective Oversight Structures for Investment Advisers
October 20, 2020 | NSCP National Conference | Speaker: Michelle L. Jacko, CSCP, CEO
NSCP Webinar: Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |
NSCP National Conference 2019 | Navigating the Challenges of the Mutual Fund Compliance Program
October 23, 2019 | Baltimore, MD | Speaker: Core Compliance
NSCP Webinar: Implementing A Stronger Due Diligence Program
July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance