Author: Jacko Law Group, PC

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

The Securities and Exchange Commission (SEC) ended 2023 with a bang, with over 780 enforcement actions and nearly $5 billion in financial remedies. With 25 new SEC rules scheduled to pass this spring and fall, those in the investment advisory space are well-advised to approach 2024 with a renewed commitment to optimizing their compliance program.… Read More

The Jacko Law Group legal team are thrilled to introduce our weekly JLG tips to help Investment Advisers, firms, broker-dealers and other practitioners in the finance and securities sectors with regular tips on important factors or changes in regulatory compliance and tax.

As one of the most dynamic yet heavily regulated professions in the economy, those in the investment advisory space must contend with frequent changes to regulatory requirements and avoid nuanced tax pitfalls during initial structuring or restructuring.… Read More

Investment advisers, firms, and other practitioners in the finance and securities space will have to incorporate several new rules to ensure they continue to meet regulatory requirements. These include industry-specific rules and amendments, as well as changes to federal and state laws. One such change is the classification of independent contractors, which will go into effect on March 11, 2024.… Read More