Important Actions to Take When Responding to an SEC Deficiency Letter Archives

Tips on How to Produce the Right Document for an Examination

March 10, 2022 by Jacko Law Group, PC

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

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Common Themes We’re Seeing in 2021 SEC Examinations

February 18, 2022 by M. Jacko

From first-hand experience, we’ve learned the primary area of focus for U.S. Securities and Exchange (“SEC”) examiners this year is protecting the retail investor, with an emphasis on those saving for retirement, aging clients, and cybersecurity.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

Important Actions to Take When Responding to an SEC Deficiency Letter

February 10, 2022 by Jacko Law Group, PC

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More