Cybersecurity and information security protocols have become industry-wide priorities, both to the regulatory bodies that oversee our business practices and to the customers who trust that firms’ policies and procedures are up-to-date and robust. This same principle extends also…
Information technology continues to provide amazing benefits to our industry, but it also brings with it a number of risks when it comes to compliance. Changes in the way mobile and personally owned devices are being utilized for business…
The Legal Tip for Jacko Law Group titled 2018 Sec Enforcement Cases: A Year In Review was written in December, 2018.… Read More
Though we’ve known ever since the SEC released its exam priorities for 2018 that cybersecurity would continue, as in years past, to be a priority, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently announced a plan for a…
One area that continues to be a primary focus for the U.S. Securities and Exchange Commission (“SEC”) in recent years is the private equity segment of the financial marketplace. As a continuing trend, the SEC’s 2017 Examination Priorities clearly focused on private fund topics and practices.… Read More
As part of FINRA’s ongoing efforts to crackdown on cybersecurity failures, the brokerage industry’s self-regulatory organization issued $14.4 million in fines to a dozen firms – including companies in the Wells Fargo & Co. and RBC Capital networks, RBS Securities Inc.,…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Legal Considerations For Your Cybersecurity Program in August, 2016.… Read More
The Legal Tip for Jacko Law Group titled 2015 Sec Enforcement Cases: A Year In Review was written in December, 2015.… Read More
The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring…
This March the Securities and Exchange Commission’s (“SEC’s”) national associate director of investment advisor and investment company exams at its Office of Compliance Inspections and Examinations (“OCIE”), Jane Jarcho (“Jarcho”), spoke at the Investment Advisor Association’s compliance conference in…