The Study of RFPs and Due Diligence Questionnaires & Processes
Michelle L. Jacko presented on The Study of RFPs and Due Diligence Questionnaires & Processes at the Ascendant Conference on March 10, 2010 in Santa Monica, CA.… Read More
Michelle L. Jacko presented on The Study of RFPs and Due Diligence Questionnaires & Processes at the Ascendant Conference on March 10, 2010 in Santa Monica, CA.… Read More
Michelle L. Jacko presented on What to Know about Your Employees and Vendors at the Ascendant Compliance Conference on March 18-20, 2009 in New Orleans, LA.… Read More
With the passing of every month, the investment industry sees another round of enforcements involving the mishandling of initial coin offerings (“ICOs”). The still nascent landscape of cryptocurrency investing continues to pose significant difficulties for investors, firms, and regulatory…
Legal Tip for Jacko Law Group titled Advisory Firm Acquisition Considerations was written in July, 2019.… Read More
Trouble regarding initial coin offerings (ICOs) and cryptocurrencies continues to occupy a significant place in our industry’s spotlight. In late February, the Securities and Exchange Commission’s enforcement branch charged Gladius Network LLC with conducting an unregistered initial coin offering…
In a long-awaited development, the SEC has adopted its final rule “requiring companies to disclose, in proxy or information statements for the election of directors, any practices or policies allowing employees or directors to engage in certain hedging transactions…
The Securities and Exchange Commission (SEC) announced in September a court order that halted what the SEC referred to as “an ongoing Ponzi-like scheme” that fraudulently collected more than $345 million from over 230 investors across the U.S. In…
Digital and virtual currencies continue to be a growing trend in the financial industry. Investors are demonstrating increased interest and trading activity, and, more and more financial advisers are considering inclusion of cryptocurrencies in investment portfolios. Existing as digital…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled The AML “Fifth Pillar” in November, 2018.… Read More
58-year-old Arthur Lamar Adams pled guilty on May 9, 2018, to one count of wire fraud for his role in defrauding hundreds of investors in a Ponzi scheme involving more than $100 million, spanning a period of at least…