Continued Focus On Valuation Remains An SEC Priority
The Legal Tip for Jacko Law Group titled Continued Focus On Valuation Remains An Sec Priority was written in June, 2014.… Read More
The Legal Tip for Jacko Law Group titled Continued Focus On Valuation Remains An Sec Priority was written in June, 2014.… Read More
The past two months have seen much in the way of political and civil strife in the Ukraine, as Russian forces moved into the Crimea and Eastern regions. After a series of economic sanctions against Russia were instituted by the…
The securities industry became privy once again to a form of manipulative trading – termed “layering” or “spoofing” – through the Securities and Exchange Commission’s (“SEC’s”) recent charges against the Holmdel, N.J.-based firm Visionary Trading, LLC (“Visionary”). According to the…
A St. Petersburg, Florida-based financial services firm was recently charged with inappropriately-calculated fee discounts and inadequate policies and procedures (“P&P”). Charges were filed against Transamerica Financial Advisors (“Transamerica”) by the Securities and Exchange Commission (“SEC”) at the beginning of April…
The Legal Tip for Jacko Law Group titled Important Reminders About Pay-to-play was written in March, 2014.… Read More
The importance of adequate and effective Anti-Money Laundering (“AML”) programs should never be underestimated in the current US regulatory environment, as the Financial Industry Regulatory Agency’s (“FINRA’s”) January 28, 2014 announcement of penalties against the firm Banorte-Ixe clearly illustrates. The…
The Securities and Exchange Commission (“SEC”) recently ordered a cease-and-desist against hedge fund adviser Agamas Capital Management, LP (“Agamas”). The SEC alleged, among other things, that Agamas failed to adopt and implement written compliance policies and procedures as required by…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled General Solicitation And Advertising Under Rule 506(c): Look Before You Leap in October, 2013.… Read More
In April 2013, the SEC and the CFTC jointly issued their final rules and guidelines for entities regulated by each of the respective agencies under Regulation S-ID – Identity Theft Red Flags Rules (the “Rule” or “Regulation S-ID”). The new…
The stability of our financial economy can be deeply affected by the act of money laundering. Anti-Money Laundering (“AML”) programs for financial institutions are governed by various laws, including the Bank Secrecy Act of 1970 (“BSA”), the Money Laundering Control…