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People Over Profits: How M&A Can Affect the Employee Experience

March 29, 2023 by

M&A can have a significant impact on the employee experience, and it is essential for companies to take steps to mitigate the negative effects. By being transparent and involving employees in the process, companies can create a more positive and productive work environment for everyone involved.… Read More

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

Chief Compliance Officer Liability Issues

February 23, 2023 by

In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will explore the most recent cases involving CCO liability. Specifically, we will consider those issues which caught the SEC’s and FINRA’s attention and discuss recent SEC guidance on how to mitigate the CCO’s liability if management’s decisions do not align with the CCO’s guidance. We will also consider the National Society of Compliance Professional’s (“NSCP”) Framework for CCO liability.… Read More

Jeremiah Baba Pagano, Esq. LLM
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Leveraging 2022 Risk Alerts to Plan for Business Growth in 2023

January 30, 2023 by

As we and the rest of the industry awaits the U.S. Securities and Exchange Commission’s (“SEC”) annual examination priorities in the first quarter of 2023, firms contemplate the transformations and evolution of their business strategies for 2023 –asking “What do we need to be thinking about?” and “What needs to change?”.
Throughout 2022 the SEC’s Division of Examinations (“EXAMS”) routinely provided guidance and insight to important areas through their issued Risk Alerts.… Read More

Michelle L. Jacko, Esq.
Broker-Dealers | FINRA Broker-Dealer Regulatory Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips

Considerations for Private Placement Investments

December 20, 2022 by

Today’s current economic marketplace is dynamic.  Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification.  Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

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