Form ADV Disclosures

For investment advisers, the Form ADV captures the most important attributes of their services, and it is important to spend time ensuring that investors have enough to make an informed decision about selecting a wealth manager. Thus, we highly recommend that you pay extra attention to disclosures, and in this case, more is more. When it comes to 2024 ADV filings, our mantra is, “Err on the side of caution, and when in doubt – DISCLOSE.”… Read More

M&A Trends for 2024

Inflation, high interest rates and geopolitical instability have influenced market momentum, which has in turn encouraged a highly intentional, risk-averse approach to business growth.
Businesses remain dedicated to aggressive development especially in the wake of the AI boom that is said to ramp up even more next year. However, in the effort to mitigate as much risk as possible, Mergers and Acquisitions will take center stage in 2024.… Read More

Mitigating Risk for Business Communications

Compliance in the advisory sector is ongoing and demanding. However, after decades of helping investment companies, investment advisers, broker-dealers and more with their compliance needs, there is one thing the Jacko Law Group team can attest to – a structured and consistent approach bolsters your risk mitigation efforts and strengthens your regulatory compliance program. This is especially true for highly scrutinized areas such as business communications, especially text messaging, and off channel communications.… Read More

Year-End Compliance Review Checklist for Advisory Businesses

Advisory businesses and professionals have experienced a lot of changes to regulations this past year, which has made it understandably challenging to remain compliant. With many regulations going into effect in 2024, and regulatory bodies’ commitment to enforcing those regulations, there is no time like the present to undertake a robust and comprehensive year-end review of your compliance program. … Read More

House Hearing on SEC’s Approach to Rulemaking

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

The New California Digital Asset Bill

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.
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“Harmonization Rules” Provide Relief For Dually Registered Operators

Recently, the Commodity Futures Trading Commission (“CFTC”) adopted final rules (the “Harmonization Rules”) amending the compliance requirements for operators of investment companies (“RICs”) registered with the Securities and Exchange Commissions (“SEC”), who are also subject to registration as commodity pool…

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