- Posts by Michelle L. Jacko, Esq.Managing Partner and CEO
Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, hedge/private funds and ...
The comment period has closed on the third round of proposed changes to the California Consumer Protection Act ("CCPA"), which were announced October 12, 2020, by the California Office of the Attorney General. There are a number of disputes regarding how the proposed revisions will impact a California consumer, but a number of the proposed revisions appear to address the manner in which a consumer may engage in the opt-out collection process.
The COVID-19 pandemic has changed the lifestyles of countless Americans. Many have lost jobs or had to shift their focus to home schooling their children. Others have started working from home and have been considering the possibility of opening their own business.
The formation of a registered investment adviser (“RIA”) can be both an exciting and daunting process. On the one hand, the opportunity for financial professionals to achieve independence and the prospect of increased revenues as an independent RIA is an attractive possibility.
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.
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.
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.
- Considerations for Your IP and Brand Protection
- A Forgettable Year for Small Business Ends with Memorable Changes to SEC Regs for Exempt Offerings
- Third Set of Modifications to CCPA Prompts California Businesses to Revisit Policy on Consumer Data Privacy
- Area of Focus for Your Annual Review: Custody
- Area of Focus for Your Annual Review: Code of Ethics
- SEC Proposes a Big Exemption to Assist Small Businesses in Raising Much-Needed Capital
- Strategic Guidance with JLG's General Corporate Counsel Service
- Recent Insider Trading Case at Amazon Offers Useful Reminders for Compliance Departments
- Navigating a Successful Merger or Acquisition
- Remaining Vigilant Against Investment Fraud During the COVID-19 Pandemic
- Securities and Exchange Commission (SEC)
- Investment Advisers
- California Consumer Privacy Act (CCPA)
- Due Diligence
- Transition Services
- Aging Clients
- Policies and Procedures
- Advisers Act
- Virtual Currency
- Dodd-Frank Act
- Broker Protocol
- Office of Compliance Inspections and Examinations (OCIE)
- Ponzi Scheme
- Securities Law
- Form U5
- Private Equity
- Private Funds
- Hedge Funds
- Regulatory Examinations
- Regulation Best Interest
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Wells Fargo