Home » Blog » Investment Advisers

Investment Advisers

IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Tax Considerations of Selling and Buying a Business: An Overview of Section 338(h)(10) Elections

May 30, 2023 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

IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Mergers & Acquisitions

People Over Profits: How and M&A Can Affect the Employee Experience

March 29, 2023 by

M&A can have a significant impact on the employee experience, and it is essential for companies to take steps to mitigate the negative effects. By being transparent and involving employees in the process, companies can create a more positive and productive work environment for everyone involved.… Read More

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

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

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

1 2 3 4 … 8