Michelle Jacko to Speak at 2022 NSCP National Conference
In just a few months, Michelle Jacko will be taking the stage as a featured panelist and moderator at the 2022 NSCP National Conference. Michelle, along with two other speakers, will be discussing the dynamic environment of today’s compliance programs … Read More
A Breakdown of the SEC’s Amended Promoter Rule
This month’s Risk Management Tip will focus on the new requirements for Promotors including its applicability to investment advisers and advisers to private funds. … Read More
Three Steps to take for a Positive SEC Examination Experience
Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
Red Flags: How to Prepare Your Team for an SEC Visit
The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
Additional Document Production: Key Elements to the Secondary Request
One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
Do’s and Don’ts of Document Production For the SEC
Although not comprehensive, the team at Jacko Law Group, PC (“JLG”) believe the following list provides a great starting point for firms on what to do and what not to do during document production for review by the U.S. Securities and Exchange Commission’s (SEC’s) Division of Examinations.… Read More
Tips on How to Produce the Right Document for an Examination
Firms registered with the U.S. Securities and Exchange Commission (SEC), should regularly ask themselves when – not if – they will be examined. With that in mind, the team at Jacko Law Group, PC (“JLG”) has a few best practices on how to prepare for the SEC’s inevitable request for document production.… Read More
Regulatory Compliance Watch: SEC’s New IA Ad Rule
Managing Partner Michelle Jacko will be speaking on the “SEC’s New IA Ad Rule,” for Regulatory Compliance Watch’s Webinar on March 22, 2022. Join the webinar to ensure you and your firm are prepared for the November compliance deadline for … Read More
Termination and Form U5 Counsel
The LawTV/Video Bolt Video 14: Assembling the Right Legal Team for Your M&A… Read More