Investment Adviser Regulatory Counsel (SEC & State)

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House Hearing on SEC’s Approach to Rulemaking

November 15, 2023 by

On November 2, 2023, the U.S. House of Representatives Financial Services Subcommittee on Capital Markets held a hearing on what was termed, ‘The SEC’s Agenda: Unintended Consequences for U.S. Capital Markets and Investors” to explore whether the enforcement actions and new proposals and regulations put forth by the SEC was inadvertently harming the market.… Read More

Blog | Cryptocurrency & Digital Asset Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance

The New California Digital Asset Bill

November 14, 2023 by

What does the new Digital Financial Assets Law mean for firms and individuals in the investment advisory space?
Investment companies and investment advisers managing digital assets may be required to comply with regulations under the new Digital Financial Assets Law. Conversely, broker-dealers are exempt along with banks and technology network providers. In addition, the new law exempts individuals or entities who manage digital asset securities which is a digital financial asset pegged against government-backed currency.
… 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

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

Investment Advisers: SEC Examination Priorities for 2024

October 31, 2023 by

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule.  … Read More

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

Investment Companies: SEC Examination Priorities for 2024

October 27, 2023 by

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule.  … Read More

Michelle L. Jacko, Esq.
Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Michelle Jacko to speak on Compliance Best Practices & Trends at Raymond James “EMPOWER”

September 20, 2023 by

On October 18, 2023, Michelle Jacko will be at the Raymond James EMPOWER event held in Tampa, Florida where she will present on “Compliance Best Practices & Trends” a dynamic and important update for RIAs and other professionals in the … 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

Jacko Law - Miles Edwards
Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

SEC New Private Fund Adviser Rule: What You Need to Know

August 29, 2023 by

The proposed SEC rules to “enhance” the regulation of private fund advisers by increasing “transparency, competition, and efficiency may not be entirely unexpected, but their substance and implications appeared to target the fundamental elements of the private funds and disrupt the relationships with investors.… Read More

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