Investment Adviser Regulatory Counsel (SEC & State)

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Jeremiah Baba Pagano, Esq. LLM
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Leveraging 2022 Risk Alerts to Plan for Business Growth in 2023

January 30, 2023 by

As we and the rest of the industry awaits the U.S. Securities and Exchange Commission’s (“SEC”) annual examination priorities in the first quarter of 2023, firms contemplate the transformations and evolution of their business strategies for 2023 –asking “What do we need to be thinking about?” and “What needs to change?”.
Throughout 2022 the SEC’s Division of Examinations (“EXAMS”) routinely provided guidance and insight to important areas through their issued Risk Alerts.… Read More

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

Red Oak Compliance Conference Featuring Michelle Jacko

January 20, 2023 by

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More

Michelle L. Jacko, Esq.
Broker-Dealers | FINRA Broker-Dealer Regulatory Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Considerations for Private Placement Investments

December 20, 2022 by

Today’s current economic marketplace is dynamic.  Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification.  Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

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