Publications

June 21, 2019

Daily Journal - Hot topics to watch in the 2019 SEC regulatory landscape (subscription required)

By: Robert R. Boech II, Esq.

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April 2019

NSCP Currents - Tips on How to Prepare For Your Next Examination: Part 2

By: Michelle L. Jacko, Esq.

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Spring 2019

Charles Schwab: SEC Key Topics - How to Prepare for an Examination

By: Michelle L. Jacko, Esq.

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March 2019

NSCP Currents - Tips on How to Prepare For Your Next Examination: Part 1

By: Michelle L. Jacko, Esq.

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March 2019

Wolters Kluwer - How Risk Alerts Can Help You Prepare for Your Next Examination

By: Michelle L. Jacko, Esq.

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January/February 2019

Common Compliance Violations Seen in 2018

By: Michelle L. Jacko, Esq.

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March 2018

Securities Law Issues Involving Crowdfunding Transactions

By: Michelle L. Jacko, Esq.

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January–February 2018

Beyond Private Equity Fees and Expenses: Don't Neglect These Important Compliance Areas

By: Robert Conca, Esq

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November-December 2017

Editorial Advisors Corner: Legal Risk Management Tip - Private Equity Reporting on New Form ADV

By: Robert Conca, Esq

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April 2017

October 2016

April 2015

October 2014

July 2014

Charles Schwab - Custody Compliance: Creating More Clarity - Jul. 2014

By: Michelle L. Jacko, Esq., Managing Partner & Chief Executive Officer, and Charles H. Field, Esq., Of Counsel

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September-October 2013

October 2012

November-December 2011

November 2011

Thomson Reuters - Practical Tips for IA Code of Ethics - Nov. 2011

By: Kris Gruben and Michelle L. Jacko

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April 2010

November-December 2009

July-August 2009

NSCP Currents - The Private Fund Investment Advisers Registration Act of 2009 - Jul/Aug. 2009

By: Matthew P. Shepherd, Esq. and Michelle L. Jacko, Esq

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December 2008

May-June 2006

January-February 2005

January-February 2001