A Breakdown of the SEC’s Amended Promoter Rule
This month’s Risk Management Tip will focus on the new requirements for Promotors including its applicability to investment advisers and advisers to private funds. … Read More
Charles Schwab Virtual Educational Event – SEC Hot Topics
Michelle L. Jacko will present on Charles Schwab Virtual Educational Event – SEC Hot Topics on March 31, 2022.… Read More
Regulatory Compliance Watch: SEC’s New IA Ad Rule
Managing Partner Michelle Jacko will be speaking on the “SEC’s New IA Ad Rule,” for Regulatory Compliance Watch’s Webinar on March 22, 2022. Join the webinar to ensure you and your firm are prepared for the November compliance deadline for … Read More
Meeting Current and Future Challenges of Serving Aging Clients by Michelle Jacko
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements," on September 15th, 2021.… Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 2)
Michelle Jacko wrote the article Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 2) for Jacko Law Group in March 2021.… Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 1)
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or not – is now commonplace. For some, social networking and … Read More
New Advisers Act Advertising Rule to Undergo Further Review
Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer. The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.
Compliance Expectations for 2021 (Part 2)
Michelle L. Jacko will present on "Compliance Expectations for 2021 (Part 2)" for an exclusive Charles Schwab web series on March 17, 2021. … Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More