In recent years, there has been a considerable increase in the number of financial advisors who are looking to break-away and transition to careers with registered investment advisory firms (“RIAs”) or even launching their own RIA seeking more independence, control, growth opportunities, and increased compensation.
Manaing Partner & CEO Michelle Jacko’s article, Considerations for 2020 and Focus on SEC Exam Priorities, was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter.… Read More
CEO and Managing Partner Michelle Jacko was featured in a CNBC article, “So Your Financial Advisor Took a PPP Loan. Here’s What That Means For You,” on May 14, 2020. In the article, Michelle discusses the circumstances surrounding disclosures of … Read More
On April 30, 2020, the Financial Industry Regulatory Authority (“FINRA”) celebrated the fifth anniversary of its Senior Help Line (the “Help Line”). The Help Line is a critical tool in FINRA’s initiative to combat financial exploitation of seniors and other vulnerable populations.
The U.S. Securities and Exchange Commission (“SEC”) recently announced settled charges against two advisers that self-reported conflicts of interest as a part of the Share Class Selection Disclosure Initiative.
The Securities and Exchange Commission (“SEC”) has announced that it will provide conditional regulatory relief for companies affected by the novel coronavirus (COVID-19).
One of the hallmarks of a fiduciary is following through on the service you promise to deliver, acting in the best interests of your client, and providing factual information.
MetLife, Inc. has agreed to pay a civil penalty of $10 million in order to settle charges from the Securities and Exchange Commission (“SEC”) that it violated the books and records and internal accounting controls provisions of the federal securities laws.
Michelle L. Jacko presented on Life Cycle of an SEC Examination at the 2020 IAA Investment Adviser Compliance Conference on March 6, 2020.… Read More
Advisory firms are encountering more competition than ever when it comes to building their client base. Many firms would make an additional spend on marketing and advertising strategies (including use of solicitors and social media to attract younger clients) but often are concerned about SEC regulatory scrutiny and limitations imposed on registrants.