Building Your Compliance Coalition in 2020
Jacko Law Group wrote the Legal Tip titled “Building Your Compliance Coalition in 2020,” in March 2020.… Read More
Considerations for 2020 and Focus on the SEC Exam Priorities
On January 7, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its list of examination priorities for fiscal year 2020 (the “Priorities”). This annual publication is invaluable, for it highlights those areas which the … Read More
Breakaway 101: FAQs for Transitioning Advisors
The January Risk Management Update was written by Jacko Law Group, P.C. (“JLG”) and published on January 28, 2020.… Read More
2019 SEC Enforcement Cases: A Year in Review
The Securities and Exchange Commission’s (“SEC’s”) Division of Enforcement released its Annual Report (the “Report”) last month, which discusses enforcement cases for its fiscal year of 2019. According to the Report, the SEC filed 862 enforcement actions in FY 2019, resulting in disgorgements and monetary penalties of roughly $4.35 billion.… Read More
At Last – The SEC Proposes Modernization of the Advertising Rule
For those of us who have focused on performance advertising throughout their careers, we have witnessed many amendments to the Advisers Act – but none which have significantly touched upon advertising. During the last quarter century, there have been new … Read More
Investment Adviser Wearing Multiple Hats Charged by SEC for Defrauding Clients
Jacko Law Group published the Legal Risk Management Tip, “Investment Adviser Wearing Multiple Hats Charged by SEC for Defrauding Clients” on October 31st, 2019.… Read More
Succession Planning: Considerations for Smaller Firms
Introduction The concept of succession planning[1] is familiar territory for many financial advisors. While it is common for financial industry professionals to counsel clients about how to plan ahead for their future, often times financial advisors fail to plan for … Read More
Mid-Year Enforcement Action Matters of 2019
Every year the SEC and FINRA publish a letter outlining the primary focuses for examiners. These focuses often set forth the hot topics and frequent deficiency areas for their examination visits throughout the year. Below are some of the more … Read More
Advisory Firm Acquisition Considerations
Legal Tip for Jacko Law Group titled Advisory Firm Acquisition Considerations was written in July, 2019.… Read More
The California Consumer Privacy Act (CCPA): What You Should Do Now to Prepare
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled The California Consumer Privacy Act (CCPA): What You Should Do Now to Prepare in June, 2019.… Read More