MCO and Core Compliance & Legal Services present an (unofficial) NSCP Round Up.
The promise of lucrative and rapid profits in virtual currency trading, including its derivatives, has attracted a high number of investors who may not understand the unique and potentially significant risks involved.
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number sources, but the level of potential damage to individual firms and the overall market also increases with each passing year.
Hamlin Capital Management, LLC, a New-York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross trading activity that favored particular client accounts over others.
Michelle L. Jacko, CSCP, is the CEO of Core Compliance & Legal Services, Inc.℠ ("Core Compliance"), a compliance consultation firm which services broker-dealers, registered investment advisers, hedge/private funds, investment companies, and financial professionals. In addition, Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a securities law firm which offers securities and corporate legal services to the financial industry.
Ms. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, internal control development, regulatory examinations, operational risk management and business transition planning. Her consultation practice is focused on the areas of regulatory exams, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, cybersecurity, Regulation S-P and much more.
Ms. Jacko regularly presents at conferences throughout the nation, and is a frequent contributor to various industry journals. Ms. Jacko serves as Vice-Chair of Education of the Corporations Committee for the State Bar of California Business Law Section. She also is former Advisory Board Co-Chair and Member of the Business & Corporate Law Section of the San Diego County Bar Association and is a Member of the American Bar Association, Business Law Section. In 2013, Ms. Jacko was appointed and continues to serve on the Editorial Advisory Board for the Wolters Kluwer publication Practical Compliance and Risk Management for the Securities Industry. She is Co-Founder and member of the Southern California Compliance Group and served two terms as a Board Member and is a current member of the National Society of Compliance Professionals (NSCP). Ms. Jacko is a FINRA Arbitrator. Ms. Jacko was recently recognized as a finalist from 2017-2018 for San Diego Business Journal’s Most Admired CEO Award, as well as and was named as a finalist for 2017-2018 San Diego Magazine’s Woman of the Year Award.
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