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Legal Risk Management Tips

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

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

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

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

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

AI Regulation in Finance and Securities

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

Industry Publications

Recent Blog Posts

Michelle Jacko to speak on Compliance Best Practices & Trends at Raymond James “EMPOWER”

On October 18, 2023, Michelle Jacko will be at the Raymond James EMPOWER event held in Tampa, Florida where she will present on “Compliance Best Practices & Trends” a dynamic and important update for RIAs and other professionals in the … Read More

Events

Michelle Jacko to speak on Compliance Best Practices & Trends at Raymond James “EMPOWER”

On October 18, 2023, Michelle Jacko will be at the Raymond James EMPOWER event held in Tampa, Florida where she will present on “Compliance Best Practices & Trends” a dynamic and important update for RIAs and other professionals in the … Read More

Media Mentions

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