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Jacko Law - Miles Edwards
Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

SEC New Private Fund Adviser Rule: What You Need to Know

August 29, 2023 by

The proposed SEC rules to “enhance” the regulation of private fund advisers by increasing “transparency, competition, and efficiency may not be entirely unexpected, but their substance and implications appeared to target the fundamental elements of the private funds and disrupt the relationships with investors.… Read More

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

SEC Cracks Down on New Marketing Rule: Titan Global Fined Over $1 Million.

August 23, 2023 by

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

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

SEC Proposes Rules on the Use of Predictive Data Analytics

August 1, 2023 by

On July 26, 2023, the US Securities and Exchange Commission (SEC) adopted the cybersecurity risk rules relating to the reporting of incidents, processes, and procedures, as well as governance, in an ongoing effort to promote transparency and trust in US investment markets.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

AI Regulation in Finance and Securities

July 28, 2023 by

As the time for speculative analyses comes to an end, governments and regulators are aware of the urgency in mapping out guidelines that address the adoption of Artificial Intelligence in the Finance and Securities sectors as concern over compliance and ethics continues to rise.… Read More

Jacko Law - Miles Edwards
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel

Valuation: SEC Examination Target

June 29, 2023 by

Since 2023, the Securities and Exchange Commission (SEC) has noticeably intensified its enforcement efforts concerning investment advisers operating within the private funds sector. This heightened regulatory stance was reinforced by Gurbir Grewal, the head of enforcement at the SEC, who has emphasized the expectation of an upsurge in enforcement actions against advisers who fail to allocate sufficient resources to fulfill their compliance and legal obligations, particularly in relation to the valuation of clients’ assets.… Read More

jeremiah baba pagano
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Tax Considerations of Selling and Buying a Business: An Overview of Section 338(h)(10) Elections

May 30, 2023 by

When selling or acquiring a business there are numerous tax considerations that should not be ignored. The tax consequences of a sale or acquisition can have a significant impact on the value of the transaction. One tax planning strategy that is often used in an acquisition is the Section 338(h)(10) election, which can have both benefits and drawbacks that you should consider depending on the specific circumstances of the transaction.… Read More

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