Annual Reviews & Risk Assessments

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Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | RIA, Private Fund, BD, etc.

Leadership Succession Planning is a Must for Risk Mitigation

July 30, 2024 by

Succession planning is an integral part of any business’s long-term objectives toward continuity. It is important to have a comprehensive, frequently reviewed, and updated plan that lays the blueprint for what happens when the head of a business or other key members of the organization are on a planned or unexpected leave of absence. Businesses that do not have a succession plan could face many challenges, especially if the departure of the owner is unexpected. However, for small to midsized firms, the challenges could be crippling. … Read More

Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Four Hot Topics to Consider for Your 2024 Annual Review

July 2, 2024 by

What should you consider when performing your annual review? With so many new regulations and amendments, it can be challenging to keep abreast of what areas the SEC is scrutinizing and expecting advisers to examine closely. You should consider first and foremost the highest risks, as well as the areas that have been in the headlines for the last several months. … Read More

Annual Reviews & Risk Assessments | Blog | Form ADV & Disclosure Documents | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

2024 Regulatory Considerations for Internet-based Investment Advisers

June 25, 2024 by

Would an adviser have to register in every single state in which they serve clients? In 2002, the U.S. Securities and Exchange Commission (SEC) responded to that issue by establishing the Internet Adviser Exemption Rule. On March 27, 2024, the SEC issued an amendment to the internet adviser rule to meet the advancements and saturation of technologies and to outline what it meant to offer investment advisory services online in today’s market. Another reason for amending the exemption was the concerning number of firms that were not meeting their compliance requirements.… Read More

Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Private Fund Counsel | Regulatory Compliance | RIA, Private Fund, BD, etc.

SEC Private Fund Rules Overturned

June 6, 2024 by

On June 5, 2024, the Fifth Circuit Court of Appeals overturned the SEC’s New Private Fund Rules introduced in August 2023 (the “Private Fund Rules”). Given that the Private Fund Rules imposed several limitations and prohibitions that ran counter to the fundamental principles of a private fund, this was a significant victory for private fund advisers.… Read More

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

How to Effectively Manage Your Cybersecurity Program

November 27, 2023 by

In the fast-paced and technology-driven landscape of the financial industry, managing cybersecurity risks is paramount. To ensure your organization’s legal compliance, and to safeguard sensitive data, it’s essential to maintain a robust incident response plan that is not only up to date but also routinely tested. In the financial industry, a reactive approach to cybersecurity is insufficient. To effectively manage legal risks associated with cyber threats, it is important to prioritize a proactive cybersecurity strategy.… Read More

Annual Reviews & Risk Assessments | Blog | Filings & Registrations | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel

Year-End Compliance Review Checklist for Advisory Businesses

November 17, 2023 by

Advisory businesses and professionals have experienced a lot of changes to regulations this past year, which has made it understandably challenging to remain compliant. With many regulations going into effect in 2024, and regulatory bodies’ commitment to enforcing those regulations, there is no time like the present to undertake a robust and comprehensive year-end review of your compliance program. … Read More

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

Requirements Under SEC Rules and Regulations for the Auditors of Private Funds

October 31, 2023 by

Private funds, which include hedge funds, private equity firms, and other investment entities, operate within a complex regulatory framework in the United States. The U.S. Securities and Exchange Commission (“SEC”) is the primary overseer, with rules drawn from legislation such as the Investment Company Act of 1940. This article sheds light on the stringent requirements that the SEC imposes on the auditors of private funds to ensure accuracy, fairness, and transparency in the financial markets.… Read More

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

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