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Private funds, which include hedge funds, private equity firms, and other investment entities, operate within a complex regulatory framework in the United States. The U.S. Securities and Exchange Commission (“SEC”) is the primary overseer, with rules drawn from legislation such as the Investment Company Act of 1940. This article sheds light on the stringent requirements that the SEC imposes on the auditors of private funds to ensure accuracy, fairness, and transparency in the financial markets.… Read More

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

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

  Welcome to the Supplemental Hub You’ve attended the session, but now you want more information… Thank you for attending “Compliance Hot Topics and Essentials for Preparing for Year-End ” presented by Michelle L. Jacko, CSCP. The discussion shouldn’t stop … Read More

Business Lawyers in Tampa At Jacko Law Group, PC our business lawyers are committed to helping Tampa-based investment companies, investment advisers, broker-dealers, advisers to public funds, and other professionals in the securities and finance industries with expert, strategic business counsel … Read More

Business Lawyers in Chicago The business lawyers at Jacko Law Group, PC provide legal services to Chicago businesses in the finance and securities industries including investment advisers, investment companies, broker-dealers, advisers to public funds, and other professionals in those sectors. … Read More

Jeremiah B. Pagano to Speak at Western CPE New Money Summit 2023… Read More

JLG Legal Subscription TERMS OF SERVICE   This Subscription Agreement (the “Agreement”) is entered into this _______ day of ____________, 2023, by and between __________________ (“You” or the “Client”) and Jacko Law Group, PC (“JLG”). JLG and Client hereby agree … Read More

Jacko Law Group, PC (JLG) Legal Subscription Service The JLG Legal Subscription Service is a direct and simple way to access corporate and securities legal counsel when you need it. We understand the importance of getting prompt responses to pressing … Read More

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