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How to Effectively Manage Your Cybersecurity Program

November 27, 2023 by

In the fast-paced and technology-driven landscape of the financial industry, managing cybersecurity risks is paramount. To ensure your organization’s legal compliance, and to safeguard sensitive data, it’s essential to maintain a robust incident response plan that is not only up to date but also routinely tested. In the financial industry, a reactive approach to cybersecurity is insufficient. To effectively manage legal risks associated with cyber threats, it is important to prioritize a proactive cybersecurity strategy.… Read More

jeremiah baba pagano
Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

Requirements Under SEC Rules and Regulations for the Auditors of Private Funds

October 31, 2023 by

Private funds, which include hedge funds, private equity firms, and other investment entities, operate within a complex regulatory framework in the United States. The U.S. Securities and Exchange Commission (“SEC”) is the primary overseer, with rules drawn from legislation such as the Investment Company Act of 1940. This article sheds light on the stringent requirements that the SEC imposes on the auditors of private funds to ensure accuracy, fairness, and transparency in the financial markets.… Read More

Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

What We Learned from the Recent SEC Risk Alert on Investment Adviser Examinations

September 19, 2023 by

In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will provide a summary of the 2023 SEC Examination priorities which highlight those particular areas of focus by EXAMS this year. We will then explore the most recent SEC Risk Alert and discuss recent SEC guidance on how to better understand the SEC’s risk-based approach to examinations. Finally, we will also consider steps you can take to help prepare for and achieve a positive SEC examination experience.… Read More

Jacko Law - Miles Edwards
Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

SEC New Private Fund Adviser Rule: What You Need to Know

August 29, 2023 by

The proposed SEC rules to “enhance” the regulation of private fund advisers by increasing “transparency, competition, and efficiency may not be entirely unexpected, but their substance and implications appeared to target the fundamental elements of the private funds and disrupt the relationships with investors.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

AI Regulation in Finance and Securities

July 28, 2023 by

As the time for speculative analyses comes to an end, governments and regulators are aware of the urgency in mapping out guidelines that address the adoption of Artificial Intelligence in the Finance and Securities sectors as concern over compliance and ethics continues to rise.… Read More

Jacko Law - Miles Edwards
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel

Valuation: SEC Examination Target

June 29, 2023 by

Since 2023, the Securities and Exchange Commission (SEC) has noticeably intensified its enforcement efforts concerning investment advisers operating within the private funds sector. This heightened regulatory stance was reinforced by Gurbir Grewal, the head of enforcement at the SEC, who has emphasized the expectation of an upsurge in enforcement actions against advisers who fail to allocate sufficient resources to fulfill their compliance and legal obligations, particularly in relation to the valuation of clients’ assets.… Read More

Blog | Private Fund Counsel

SEC Proposes Exemptions to Application Procedures

December 11, 2019 by

The Securities and Exchange Commission (“SEC”) has announced that it voted to establish an expedited review process for Investment Company Act applications that are substantially identical to recent precedent. Intended to make the application process more efficient by streamlining the process for routine applications and reduce the likelihood that applicants would need to file amendments to applications in response to staff comments.

… Read More

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