How to Survive & Thrive During your Next SEC Exam
Michelle L. Jacko presented on How to Survive & Thrive During your Next SEC Exam for the Investment Advisor (IA) Webinar, on August 12, 2008 in.… Read More
Michelle L. Jacko presented on How to Survive & Thrive During your Next SEC Exam for the Investment Advisor (IA) Webinar, on August 12, 2008 in.… Read More
Michelle L. Jacko presented on Managing and Surviving an SEC Review at the Financial Research Associates Fourth Annual Fund of Funds Business Operations Forum on May 16-17, 2008 in New York, NY.… Read More
The North American Securities Administrators Association (NASAA) has released its 2018 Enforcement Report (the Report) that says 2017 was the first year on record in which enforcement actions against registered investment advisors (RIAs) has outnumbered enforcements against broker-dealers and…
Dale Cebert was managing over $400 million when Morgan Stanley terminated his employment for failure to disclose his outside business activities. Being terminated is always a serious matter any investment professional, but allegations were also added to his public…
The Legal Tip for Jacko Law Group titled 2018 Sec Enforcement Cases: A Year In Review was written in December, 2018.… Read More
In an update to a case over alleged fraud involving the firm Biozoom that we reported on last year, the SEC last month charged 4 individuals with generating over $34 million in illicit profit by engaging in a series…
The SEC recently announced charges against an investment adviser, Premium Point Investments LP, and accused the adviser of engaging in intentional fraud – you can read the SEC’s litigation release and find its Complaint containing the charges here. The SEC…
With the issue of investment advisers putting their clients into higher-fee share classes when a low-cost option is available continuing to be a problem – and the subsequent Share Class Selection Disclosure Initiative developed to combat the problem on a…
The 2018 SEC Exam Priorities once again listed wrap fee programs as one of their areas of focus this year. This is not unexpected, as the continued push by the SEC to protect retail investors (and the subset of senior/retiring…
While SEC Examinations can be extremely intimidating, we’ve found that the SEC Exam process doesn’t have to be nearly as painful as many firms assume it to be….