Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
Firms registered with the U.S. Securities and Exchange Commission (SEC), should regularly ask themselves when – not if – they will be examined. With that in mind, the team at Jacko Law Group, PC (“JLG”) has a few best practices on how to prepare for the SEC’s inevitable request for document production.… Read More
Private Funds offer unique and varied opportunities in the securities industry. With these opportunities come a complicated legal minefield as to navigating the rules and regulations of operating a Private Fund.
On May 28, 2020, the Securities and Exchange Commission (“SEC”) announced that San Jose-based block chain services firm BitClave PTE Ltd. (“BitClave”) agreed to settle charges related to an unregistered initial coin offering (“ICO”) of digital asset securities.
Michelle L. Jacko’s article titled The Private Fund Investment Advisers Registration Act of 2009 which was published in the National Society of Compliance Professionals’ (NSCP) monthly newsletter, Currents, in the July/August 2009 issue. … Read More
Michelle L. Jacko published the article titled Q&A: IARD Conversion in National Society of Compliance Professionals (NSCP) Currents’ January/February 2001 publication. … Read More
The statement that appears atop the Securities and Exchange Commission (“SEC”) website reads as follows: “The Securities and Exchange Commission is currently open, fully staffed and focused on our mission. With a short-term Continuing Resolution signed into place, all…
David Sobel wrote a Legal Tip for Jacko Law Group titled Mid-Year Enforcement Action Cases in August, 2018.… Read More
Jacko Law Group, P.C. (“JLG”) wrote the article titled Private Equity Reporting on New Form ADV which was published in the Wolters Kluwer Newsletter in November/December 2017.… Read More
According to the North American Securities Administrators Association (“NASAA”) 2015 Enforcement Report on 2014 Data (the “Report”), state securities regulators conducted 4,853 investigations in 2014 resulting in $405 million in restitution, $174 million in fines and 1,629 years in prison…