Annual Reviews & Risk Assessments Archives

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

September 19, 2023 by M. Jacko

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

Annual Reviews & Risk Assessments | Events | Investment Advisers

2022 Investment Adviser Compliance Conference – Annual Reviews

February 25, 2022 by M. Jacko

On March 3, 2022 Managing Partner Michelle Jacko will be speaking on “Back to Basics Track: Annual Reviews,” for the 2022 Investment Adviser Compliance Conference. During this session, Michelle an her co-panelists will discuss, “How the process of assessing the adequacy of policies … Read More

Annual Reviews & Risk Assessments | Corporate Counsel | Video Library

Proactive Risk Mitigation

June 30, 2021 by Jacko Law Group, PC

The LawTV/Video Bolt Video 12: Proactive Risk Mitigation… Read More

Annual Reviews & Risk Assessments | Blog

Proactive Risk Mitigation

June 30, 2021 by Jacko Law Group, PC

Given the current regulatory landscape, good intentions just aren’t good enough. Companies need to be actively protecting themselves and their personnel from liability.

Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Video Library

Protecting Your Firm Through Risk Management

June 3, 2021 by Jacko Law Group, PC

The LawTV/Video Bolt Video 11: Protecting Your Firm Through Risk Management… Read More

Annual Reviews & Risk Assessments | Blog

Protecting Your Firm Through Risk Management

June 3, 2021 by Jacko Law Group, PC

You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.

Annual Reviews & Risk Assessments | Blog

Area of Focus for Your Annual Review: Custody

November 3, 2020 by Jacko Law Group, PC

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.

Annual Reviews & Risk Assessments | Blog

Area of Focus for Your Annual Review: Code of Ethics

October 27, 2020 by Jacko Law Group, PC

The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).

Annual Reviews & Risk Assessments | Blog | Due Diligence Counsel

Internal Control Failures Cost MetLife $10 million in SEC Settlement

February 19, 2020 by M. Jacko

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.

Annual Reviews & Risk Assessments | Blog

HCR Advisors Settles SEC Charges on Failure to Supervise and Implement Compliance-Related Policies and Procedures

November 15, 2019 by M. Jacko

HCR Wealth Advisors agreed to a cease-and-desist order, a $220,000 penalty, and a $328,912 payment to its harmed clients in order to settle charges with the U.S. Securities and Exchange Commission (“SEC”). The SEC complaint alleged that HCR had failed to reasonably supervise and implement its own compliance-related policies and procedures in response to fraudulent actions by one of its former investment advisors.

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