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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

Regulatory Filings
Blog | Form ADV & Disclosure Documents | Investment Advisers | Investment Companies | Regulatory Compliance

Form ADV Disclosures

January 12, 2024 by

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

Blog | Breakaway & Transition | Investment Advisers | Investment Companies | Mergers & Acquisitions

M&A Trends for 2024

January 3, 2024 by

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

Blog | Investment Advisers | Investment Companies | Regulatory Compliance

Mitigating Risk for Business Communications

December 12, 2023 by

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

Annual Reviews & Risk Assessments | Blog | Filings & Registrations | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel

Year-End Compliance Review Checklist for Advisory Businesses

November 17, 2023 by

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

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

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

Blog | Form ADV & Disclosure Documents | Investment Companies

“Harmonization Rules” Provide Relief For Dually Registered Operators

September 20, 2013 by

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…

… Read More

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