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What We Learned from the Recent SEC Risk Alert on Investment Adviser Examinations

September 19, 2023 by

In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will provide a summary of the 2023 SEC Examination priorities which highlight those particular areas of focus by EXAMS this year. We will then explore the most recent SEC Risk Alert and discuss recent SEC guidance on how to better understand the SEC’s risk-based approach to examinations. Finally, we will also consider steps you can take to help prepare for and achieve a positive SEC examination experience.… Read More

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

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

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

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

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