Author: M. Jacko

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Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

What We Learned from the Recent SEC Risk Alert on Investment Adviser Examinations

September 19, 2023 by

In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will provide a summary of the 2023 SEC Examination priorities which highlight those particular areas of focus by EXAMS this year. We will then explore the most recent SEC Risk Alert and discuss recent SEC guidance on how to better understand the SEC’s risk-based approach to examinations. Finally, we will also consider steps you can take to help prepare for and achieve a positive SEC examination experience.… Read More

IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Chief Compliance Officer Liability Issues

February 23, 2023 by

In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will explore the most recent cases involving CCO liability. Specifically, we will consider those issues which caught the SEC’s and FINRA’s attention and discuss recent SEC guidance on how to mitigate the CCO’s liability if management’s decisions do not align with the CCO’s guidance. We will also consider the National Society of Compliance Professional’s (“NSCP”) Framework for CCO liability.… Read More

Michelle L. Jacko, Esq.
Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel

Red Oak Compliance Conference Featuring Michelle Jacko

January 20, 2023 by

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More

Michelle L. Jacko, Esq.
Broker-Dealers | FINRA Broker-Dealer Regulatory Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Considerations for Private Placement Investments

December 20, 2022 by

Today’s current economic marketplace is dynamic.  Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification.  Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

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