- Posts by Rachel C. Edwards, Esq.Attorney
Rachel C. Edwards, Esq. serves as an Attorney at Jacko Law Group, PC (“JLG”) where she supports the needs of our corporate clientele. Her invaluable experience supports their ability to provide advice in connection with a wide ...
Once you have made the decision to pursue an M&A transaction, the next phase of the process is designed to accelerate progress toward a deal or abandon it altogether.
Professionals who work with “Plans”, as defined under the Employment Retirement Income Security Act of 1974 (ERISA), and for those that recommend certain investments to individual retirement accounts (“IRA”), such individuals must be mindful to update their firm’s policies and procedures now that the U.S. Department of Labor (DOL) is proceeding with the adoption of a fiduciary exemption that can impose restrictions upon and prevent fiduciaries from engaging in certain activities.
In early 2021, a prohibited transaction exemption (“PTE”) issued by the Department of Labor (“DOL”) took effect that allows qualifying investment advisers to receive conflicted compensation resulting from nondiscretionary fiduciary investment advice.
Firms that have seen the recently released 2021 Report on the Financial Industry Regulatory Authority’s (FINRA’s) Examination and Risk Monitoring Program (the "Report") should be formulating plans to fortify their compliance programs based on the noteworthy findings shared from recent FINRA exams. The Report provides firms with valuable insight into 18 regulatory topics categorized by Firm Operations, Communications and Sales, Market Integrity, and Financial Management.
In a previous blog post, we discussed a few key areas for consideration regarding a firm's annual review. We covered the integral area of the Code of Ethics - but in today's blog post we focus on the importance of analyzing your firm's policies regarding custody.
Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.
On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.
- Starting Out: Mergers & Acquisitions – Term Sheets and Due Diligence
- Four P Words to Remember During the Breakaway and Transition Process
- Proactive Risk Mitigation
- How a Popular Index’s Lack of Risk Disclosures Resulted in a Recent $9 Million SEC Fine: Lessons Learned
- The Importance of Having a Successful Succession Plan
- Why Advisors Should Seek Specialized Counsel When Making a Business Transition
- Protecting Your Firm Through Risk Management
- A Financial Advisory Firm’s Simple, but Costly Lesson in the Need for Adequate Fee Disclosure
- Five Investor Protections to Remember When Finalizing FINRA Pre-dispute Arbitration Agreements
- Compliance Steps Fiduciaries Should Take Now to Help Ensure Continued Adherence with the DOL’s New ERISA Exemption
- Transition Services
- Securities and Exchange Commission (SEC)
- Investment Advisers
- Policies and Procedures
- Due Diligence
- Regulatory Examinations
- Social Media Marketing
- California Consumer Privacy Act (CCPA)
- Aging Clients
- Advisers Act
- Virtual Currency
- Dodd-Frank Act
- Ponzi Scheme
- Office of Compliance Inspections and Examinations (OCIE)
- Securities Law
- Broker Protocol
- Form U5
- Private Equity
- Private Funds
- Hedge Funds
- Regulation Best Interest
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Wells Fargo