Financial advisers and broker-dealers should conduct thorough and frequent reviews of their clients’ holdings in certain Chinese companies now that a November Executive Order that prohibits new U.S. investments in companies with alleged ties to China’s military has taken effect.
The COVID-19 pandemic has decimated small business at an unprecedented rate and sent the U.S. unemployment rate to its highest level since the Great Depression, reaching a high of 14.7% in April 2020.
Robert D. Conca wrote the Legal Risk Management Tip, “What Transitioning Advisors Need to Know About Broker Protocol,” in August for Jacko Law Group.… Read More
The outcome of a recent jury trial in Manhattan has underscored the importance of the Securities and Exchange Commission’s new Regulation Best Interest and the Commission’s ongoing commitment to enforcing the standard of investment suitability for retail clients.
David Sobel wrote the article titled What You Need to Know About Expungement which was published in the Wolters Kluwer Newsletter in September/October 2017.… Read More
Robert Boeche wrote the article titled The Current Landscape of Anti-Money Laundering which was published in the National Society of Compliance Professionals (NSCP) Currents’ April, 2015 publication. … Read More
Michelle L. Jacko wrote the article titled Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models which was published in the Charles Schwab Compliance Review’s May 2011 issue. … Read More
Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More
Michelle L. Jacko presented on BD/IA – Dual Registrant Challenges at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 22, 2014 in Washington, D.C.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P. in April, 2019.… Read More