Investment Adviser Regulatory Counsel (SEC & State)

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Michelle Jacko to Speak at the InvestmentNews goRIA Masterclass

April 26, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will discuss Compliance: What You Need to Know to Get Your RIA Registered and To Keep It in Compliance at the goRIA MasterClass hosted by InvestmentNews. This virtual event will be held on June 13, 2024. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Securities Law Considerations Part 2: SEC Registered Funds, Exemptions and Regulatory Considerations

April 24, 2024 by

The Investment Company Act of 1940, as amended (“40 Act”) defines an “investment company” as an issuer primarily involved in the business of investing, reinvesting, or trading securities. It explicitly prohibits any engagement in buying and selling securities without SEC registration or a valid exemption. Hedge funds and comparable pooled investment vehicles fall under this definition if they meet one of the two exemptions.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Private Fund Counsel | RIA, Private Fund, BD, etc.

Securities Law Considerations for Investment Fund Formation: Part 1

March 26, 2024 by

Investment fund formation is the comprehensive process of establishing a collective investment vehicle that pools capital from multiple investors to engage in various securities or other financial asset investments. The primary goal is to provide investors with a professionally managed portfolio often designed to provide diversification, but equally as often to deploy funds into a specific asset class, or according to a particular investing philosophy, strategy, or methodology.… Read More

Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Due Diligence Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance

Working with Outside Managers: Third-Party Asset Managers or Sub-Advisers – What is the Difference?

February 28, 2024 by

Investment advisers understand that selecting a portfolio which meets a client’s goals and objectives is a fiduciary duty. Sometimes, this involves working with outside managers such as sub-advisers or a third-party asset manager (“TPAM”) who have specialized investment management knowledge to further diversify a client’s portfolio investments. … Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak at the NSCP Interactive Compliance Labs, Long Beach

February 28, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will speak on Risk Management Beyond Assessment at the National Society of Compliance Professionals (NSCP) Interactive Compliance Labs. The event will be held on April 18, 2024, at the Pointe, California State University, Long Beach.  … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings

Compliance Considerations for Adding ESG Assets to Your Client Portfolios

January 25, 2024 by

Investment Advisers who fail to adopt or acknowledge the societal mind-shift towards sustainability may lose out on potential investors.
Whereas such shifting trends may have been ignored several years ago, overlooking the importance of incorporating investments that adhere to responsible Environmental, Social, and Governance (ESG) practices may border on an investment adviser’s failure to act in the best interest of their investors.
However, it is advisable to take the necessary steps to mitigate risk when adding ESG investment assets to clients’ portfolios.… Read More

Cryptocurrency & Digital Asset Counsel | Due Diligence Counsel | Form ADV & Disclosure Documents | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

Risk Mitigation in Incorporating Emerging Tech Trends into Client Portfolios

January 24, 2024 by

Just as with many other sectors of the economy, the securities industry has experienced a fast-coming barrage of changes to the business of investing, most of all in emerging technologies.
Investment Advisers may have ignored the changes in technology several years ago, but those who provide investment advisory services can no longer avoid the fact that clients’ portfolio needs have evolved, and they may fail to act in the best interest of their investors should they overlook it. However, there are some important factors to consider when incorporating new types of assets into clients’ portfolios and steps to take to mitigate risks.… Read More

Broker-Dealers | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

California to Implement NASAA Continuing Education Model Rule in 2024

December 29, 2023 by

In November 2020, the North American Securities Administrators Association (NASAA) introduced the Continuing Education Model Rule to help firms and practitioners in the investment advisory space better serve their clients and maintain regulatory compliance. NASAA, which is tasked with promoting excellence in the securities industry, has expanded to 19 member states who have pledged to protect investors and promote integrity in the business by facilitating ongoing education for IARs. California is one of several states who will adopt the Model Rule in the upcoming year. … 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

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