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Code of Ethics

Home » Blog » Code of Ethics
Annual Reviews & Risk Assessments | Blog

Area of Focus for Your Annual Review: Code of Ethics

October 27, 2020 by Jacko Law Group, PC

The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).

… Read More

Industry Publications | Investment Advisers

Practical Tips for an Investment Adviser Code of Ethics

August 5, 2019 by Jacko Law Group, PC

Michelle L. Jacko and Kris Gruben wrote the article titled Practical Tips for an Investment Adviser Code of Ethics which was published in the Thomson Reuters Accelus November 2011 issue.  … Read More

Blog

The CFP’s Revised Code of Ethics and Standards of Conduct Takes Effect

July 22, 2019 by Jacko Law Group, PC

In late March, 2018, the Certified Financial Planner (CFP) Board of Standards announced the unanimous approval of a new Code of Ethics and Standards of Conduct.

This replaces the current Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards and Terminology for all CFP-licensed professionals.

… Read More

Blog

New York High Court Rejects Unlawful Termination Claim by Hedge Fund Compliance Officer

May 10, 2012 by Jacko Law Group, PC

On Wednesday, New York’s highest court rejected a claim by the former Chief Compliance Officer of Peconic Partners, LLC – a New York based hedge fund – that he was wrongfully terminated for confronting the fund’s majority owner, CEO and…

… Read More

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  • Why JLG
    • Our Team
    • The JLG Experience
      • What You Can Expect
      • What Clients Are Saying
    • Community Involvement
    • Career Opportunities
    • Media Mentions
  • Who We Serve
    • Investment Advisers
    • Investment Companies
    • Broker-Dealers
    • Private Funds
    • Financial Professionals
  • Practice Areas
    • Regulatory Counsel & Compliance Services
      • Regulatory Examinations & Enforcement Counsel
      • Investment Adviser Regulatory Counsel (SEC & State)
      • FINRA Broker-Dealer Regulatory Counsel
      • Private Fund Counsel
      • Annual Reviews & Risk Assessments
      • Form ADV & Disclosure Documents
      • Regulatory Filings
      • Formations & Registrations
      • IA Marketing Rule Counsel
      • Form U5 Expungement Counsel
      • Due Diligence Counsel
      • Expert Witness
    • Strategic Business Planning
      • Mergers & Acquisitions
      • Transition & Breakaway Services
      • Corporate & Business Formation
      • Succession Planning Counsel
    • General Counsel
      • Contract Review
      • Corporate Governance
      • Family Office Counsel
      • Labor & Employment Law Services
      • Intellectual Property Law Services
      • Real Estate Law Services
      • Cryptocurrency & Digital Asset Counsel
      • Outsourced General Corporate Counsel Services
  • Knowledge Center
    • Legal Risk Management Tips
    • Industry Publications
    • Blog
    • Video Library
    • Events
  • Contact Us