How Prepared Are You for an SEC Examination?
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Prepared Are You for an SEC Examination? in July, 2018.… Read More
The SEC Reminds Advisers of the Importance of Proper Understanding, Disclosure and Assessment of Advisory Fees
The Legal Tip for Jacko Law Group titled The SEC Reminds Advisers of the Importance of Proper Understanding, Disclosure and Assessment of Advisory Fees was written in June, 2018.… Read More
Private Equity Valuations – Best Practices from Lessons Learned
Private equity valuations present a unique challenge for advisers to private equity and other private funds (“PF Advisers”). Determining the market value of an illiquid portfolio company asset with no active market, and consistently arriving at a reasonable result, is challenging to say the least.… Read More
Succession Planning 101: Safeguarding Your Business
David Sobel wrote a Legal Tip for Jacko Law Group titled Succession Planning 101: Safeguarding Your Business in April, 2018.… Read More
Where Do Cryptocurrencies Fit in the Regulatory Landscape?
The Legal Tip for Jacko Law Group titled Where Do Cryptocurrencies Fit in the Regulatory Landscape? was written in March, 2018.… Read More
Securities Law Issues Involving Crowdfunding Transactions
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Securities Law Issues Involving Crowdfunding Transactions in February, 2018.… Read More
Hot Topics in Private Equity Regulation: Where to Focus Your Compliance Program Efforts
One area that continues to be a primary focus for the U.S. Securities and Exchange Commission (“SEC”) in recent years is the private equity segment of the financial marketplace. As a continuing trend, the SEC’s 2017 Examination Priorities clearly focused on private fund topics and practices.… Read More
2017 SEC Enforcement Cases: A Year In Review
The Legal Tip for Jacko Law Group titled 2017 SEC Enforcement Cases: A Year In Review was written in December, 2017.… Read More
This Holiday Season, Review Your Services to Vulnerable Adults
Michell L. Jacko wrote a Legal Tip for Jacko Law Group titled This Holiday Season, Review Your Services to Vulnerable Adults in Noveber, 2017.… Read More
FINRA Broker-Dealer Regulatory Counsel | Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel
What To Do If You Receive a FINRA 8210 Letter
David Sobel wrote a Legal Tip for Jacko Law Group titled What To Do If You Receive a FINRA 8210 Letter in October, 2017.… Read More