Jacko Law Group Managing Partner Michelle Jacko will discuss Compliance: What You Need to Know to Get Your RIA Registered and To Keep It in Compliance at the goRIA MasterClass hosted by InvestmentNews. This virtual event will be held on June 13, 2024. … Read More
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Dharmi C. Mehta, Esq. Attorney
The Investment Company Act of 1940, as amended (“40 Act”) defines an “investment company” as an issuer primarily involved in the business of investing, reinvesting, or trading securities. It explicitly prohibits any engagement in buying and selling securities without SEC registration or a valid exemption. Hedge funds and comparable pooled investment vehicles fall under this definition if they meet one of the two exemptions.… Read More
Investment advisers considering the use of a Special Purpose Acquisition Company (SPAC) as part of their merger and acquisition strategy must take into account the myriad of regulatory obligations that come with a SPAC M&A.… Read More
As an Investment Adviser, it is important to balance the needs and best interests of the clients with that of the firm. We believe that this aligns with mitigating the risks for both clients and the advisory business.… Read More
Geneva J. Roman Paralegal
As Q1 closes out, we continue to pay attention to the regulatory forecast for the rest of the year. As advisers continue to focus on their clients, they must also pay attention, as many rules are poised to be introduced this spring and fall. … Read More
Investment fund formation is the comprehensive process of establishing a collective investment vehicle that pools capital from multiple investors to engage in various securities or other financial asset investments. The primary goal is to provide investors with a professionally managed portfolio often designed to provide diversification, but equally as often to deploy funds into a specific asset class, or according to a particular investing philosophy, strategy, or methodology.… Read More
Advisers with fiscal year end of December 31 have until March 30 to file their Form ADV. With the deadline looming, here are six last-minute tips to help you file accurately and on time.… Read More