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Three Things to Remember for Staff Interviews During an SEC Visit

January 27, 2022 by Jacko Law Group, PC

Examiners with the U.S. Securities and Exchange Commission (“SEC”) typically send firms an advance list of who they want to interview for two reasons: scheduling and availability purposes and to provide an idea of their expectations while they are onsite. … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Understanding Elements the SEC is Trying to Identify During an Examination

January 20, 2022 by Jacko Law Group, PC

Undergoing a visit and/or an examination from the U.S. Securities and Exchange Commission (“SEC”) can be daunting, confusing, and draining. Firms throughout the industry are told that preparation is vital to successful SEC interactions, but how do you know what to prepare for? What steps do you need to take to minimizing the chances of your firm not receiving a deficiency letter with a long list of infractions. … Read More

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