The U.S. Securities and Exchange Commission (“SEC”) recently released the list of examination priorities for their 2025 fiscal year[1]. In their release, the SEC stated that their goal for issuing the list to coincide with the beginning of their fiscal … Read More
November 19-21, 2024 | Schwab IMPACT 2024 | San Francisco, CA | Speaker: Michelle L. Jacko CEO, Michelle L. Jacko, is thrilled to be returning to this year’s Schwab IMPACT Conference! Schwab IMPACT 2024 will take place from November … Read More
It’s one of those scenarios made for film or television: there you are, sitting in your office, minding your own business. All of your firm’s personnel have submitted their quarterly attestation certifications on time and you just completed some procedural … Read More
September 19, 2024 | 2024 Schwab Fall Compliance Update | Virtual | Speaker: Michelle L. Jacko, CSCP, CEO
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
October 15-18, 2023 | Raymond James EMPOWER Conference | Tampa, FL | Speaker: Michelle L. Jacko, CSCP
October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
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
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO
On Episode 92 of the CCO Buzz podcast, we discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.