SEC Hot Topics – Keeping Focused on Top Compliance Priorities
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "SEC Hot Topics – Keeping Focused on Top Compliance Priorities," on August 18th, 2021.… Read More
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "SEC Hot Topics – Keeping Focused on Top Compliance Priorities," on August 18th, 2021.… Read More
The first few months of 2021 have marked a clear shift in how the U.S. Securities and Exchange Commission (SEC) could soon start holding corporations to a much higher standard of accountability for actions that harm investors. A central theme of the SEC’s emerging mindset, as stated in a March 9, 2021, speech by Commissioner Caroline Crenshaw is the belief that corporate culture comes from the top and there is a strong need to incentivize companies to foster a culture of compliance, not misconduct.
Michelle L. Jacko will present on "Be in the Know: SEC Examination Priorities (Part 1)" for an exclusive Charles Schwab web series on February 17, 2021. … Read More
Michelle L. Jacko will present on Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021 for a Schwab Compliance Webinar on February 25, 2021.… Read More
In today’s remote work environment, cybersecurity has become one of the Industry’s largest vulnerable components when servicing clients. As majority of the Industry has migrated to remote work and new communication technologies, this has forced more data and information to be susceptible to risk. In this blog post, we will discuss material nonpublic information and how we believe this will be an area of additional focus as the Industry gears up for 2021.
Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.
On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.
The LawTV Video 3: Integral Factors for Your Firm’s Mock SEC Examination… Read More
When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.
As firms work to prepare their updated disclosures and move toward compliance by June 30, 2020 with the new Regulation Best Interest (“Reg BI”), the Securities and Exchange Commission (“SEC”) made two important announcements. As a reminder, Reg BI establishes a new standard of conduct for broker-dealers and their associated persons when making a recommendation of any securities transaction or investment strategy involving securities (including account recommendations) to a retail customer.
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