How to Prepare for Amendments to Regulation S-P – NSCP Currents
Managing Partner Michelle L. Jacko explores the recent amendments to Regulation S-P in the October 2024 issue of the NSCP Currents Newsletter.… Read More
SEC EXAMS for RIAs: What you Need to Know to Prepare – NSCP Currents
Managing Partner Michelle Jacko’s article, “SEC EXAMS for RIAs: What you Need to Know to Prepare” published in the NSCP Currents… Read More
Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services
Investment Advisers: SEC Examination Priorities for 2024
The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.
The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule. … Read More
Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services
Investment Companies: SEC Examination Priorities for 2024
The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.
The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule. … Read More
Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services
SEC Cracks Down on New Marketing Rule: Titan Global Fined Over $1 Million.
The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.
The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule. … Read More
Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services
SEC Proposes Rules on the Use of Predictive Data Analytics
On July 26, 2023, the US Securities and Exchange Commission (SEC) adopted the cybersecurity risk rules relating to the reporting of incidents, processes, and procedures, as well as governance, in an ongoing effort to promote transparency and trust in US investment markets.… Read More
4 Advantages of Smart Wealth Management
Business owners, as they begin to strategize and plan their exit and transition from their business, need to consider how to manage their wealth after they will no longer have the steady income, they have become accustomed to. According to … Read More
Seven Questions to Answer for Proper Exit Planning
As a business owner there are seven key questions you must consider before you sell or transition your business. The overall goal of these questions is to uncover what is important to you in your long-term succession or exit plan. … Read More
Financial Planning 101: Four Essentials to Conquering Your Balance Sheet
As business owners start to strategize and plan their exit or transition from their business they should take into consideration and work with professionals to create a financial plan, considering the impact of the forthcoming sale of their business. One … Read More