Regulatory Compliance

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Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | RIA, Private Fund, BD, etc.

Michelle Jacko to Speak at the InvestmentNews goRIA Masterclass

April 26, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will discuss Compliance: What You Need to Know to Get Your RIA Registered and To Keep It in Compliance at the goRIA MasterClass hosted by InvestmentNews. This virtual event will be held on June 13, 2024. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Securities Law Considerations Part 2: SEC Registered Funds, Exemptions and Regulatory Considerations

April 24, 2024 by

The Investment Company Act of 1940, as amended (“40 Act”) defines an “investment company” as an issuer primarily involved in the business of investing, reinvesting, or trading securities. It explicitly prohibits any engagement in buying and selling securities without SEC registration or a valid exemption. Hedge funds and comparable pooled investment vehicles fall under this definition if they meet one of the two exemptions.… Read More

Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Due Diligence Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance

Working with Outside Managers: Third-Party Asset Managers or Sub-Advisers – What is the Difference?

February 28, 2024 by

Investment advisers understand that selecting a portfolio which meets a client’s goals and objectives is a fiduciary duty. Sometimes, this involves working with outside managers such as sub-advisers or a third-party asset manager (“TPAM”) who have specialized investment management knowledge to further diversify a client’s portfolio investments. … Read More

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

Michelle Jacko to Speak at the NSCP Interactive Compliance Labs, Long Beach

February 28, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will speak on Risk Management Beyond Assessment at the National Society of Compliance Professionals (NSCP) Interactive Compliance Labs. The event will be held on April 18, 2024, at the Pointe, California State University, Long Beach.  … Read More

SEC Filings
Blog | Investment Advisers | Investment Companies | Regulatory Compliance

SEC Rules on Deck for 2024

February 27, 2024 by

The Securities and Exchange Commission (SEC) ended 2023 with a bang, with over 780 enforcement actions and nearly $5 billion in financial remedies. With 25 new SEC rules scheduled to pass this spring and fall, those in the investment advisory space are well-advised to approach 2024 with a renewed commitment to optimizing their compliance program.… Read More

Blog | Investment Advisers | Investment Companies | Regulatory Compliance

Introducing the JLG Regulatory and Tax Tips

February 16, 2024 by

The Jacko Law Group legal team are thrilled to introduce our weekly JLG tips to help Investment Advisers, firms, broker-dealers and other practitioners in the finance and securities sectors with regular tips on important factors or changes in regulatory compliance and tax.

As one of the most dynamic yet heavily regulated professions in the economy, those in the investment advisory space must contend with frequent changes to regulatory requirements and avoid nuanced tax pitfalls during initial structuring or restructuring.… Read More

Regulatory Counsel | Jacko Law Group
Blog | Investment Advisers | Investment Companies | Regulatory Compliance

What You Should Know About the New Regulations for Classifying Independent Contractors

February 8, 2024 by

Investment advisers, firms, and other practitioners in the finance and securities space will have to incorporate several new rules to ensure they continue to meet regulatory requirements. These include industry-specific rules and amendments, as well as changes to federal and state laws. One such change is the classification of independent contractors, which will go into effect on March 11, 2024.… Read More

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