The Legal Tip for Jacko Law Group titled Regulatory Requirements And Risks Associated With Conducting Due Diligence On Third-party Service Providers was written in July, 2016.… Read More
The Securities and Exchange Commission (“SEC”) has charged a Houston-based advisory firm with fraud for failing to disclose conflicts of interest to investors. Robare Group Ltd. (“Robare”) had a compensation arrangement in place with the unnamed brokerage firm who was…
Michelle L. Jacko wrote the article titled Recent SEC Administrative Proceedings Point to Liability Issues Facing CEOs of Financial Firms which was published in the San Diego County Bar Association (SDCBA) Newsletter in September, 2014. … Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Communicating Regulatory Compliance Matters With Your CEO for July, 2014.… Read More
A new initiative with the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) is aimed at registered investment advisers who have never undergone examination by the SEC. According to a February 20, 2014 press…
The Legal Tip for Jacko Law Group titled Anti-money Laundering Regulations On The Horizon For Investment Advisers was written in August, 2013.… Read More
Earlier this month Reuters issued a special report detailing confidential documents from investigations by two U.S. Attorney offices into violations by HSBC of the Bank Secrecy Act and other anti-money laundering laws. In April 2003 the Federal Reserve Bank of…
On September 29, 2011, the SEC issued a Risk Alert warning of concerns regarding trading through sub-accounts, and offered suggestions to help the securities industry address those risks. Generally, in the master/sub-account trading model, a top-level customer [1] opens an account with…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Best Practices For The Due Diligence Process in April, 2010.… Read More
Michelle L. Jacko wrote the article titled Are Your Employees Risking Your Business? which was published in the Bank Advisor Magazine’s September/October 2008 issue. … Read More