The SEC’s AI guidelines are still just proposals, but businesses can start to align their AI practices to boost investor trust and maintain regulatory compliance. Discuss your options with a dedicated and trusted SEC regulatory lawyer.… Read More
Director of Operations and Counsel Kathryn Konzen, Esq. explores the vulnerabilities to cyberattacks in the financial sector in the article titled “Cybersecurity: Regulatory Compliance, Attacks, and Risk Mitigation,” published in GRC Outlook. The article offers insight into why the sector remains a target for cybercriminals and how to mitigate cyber risks.… Read More
Managing Partner Michelle L. Jacko explores the recent amendments to Regulation S-P in the October 2024 issue of the NSCP Currents Newsletter.… Read More
Director of Operations and Counsel Kathryn Konzen, Esq. explores the vulnerabilities to cyberattacks in the financial sector in the article titled “Cybersecurity: Regulatory Compliance, Attacks, and Risk Mitigation,” published in GRC Outlook. The article offers insight into why the sector remains a target for cybercriminals and how to mitigate cyber risks.… Read More
There are several approaches a firm can take if they are faced with an investigation or potential enforcement action for failing to meet regulatory requirements. A firm’s approach to allegations or enforcement actions will depend heavily on their existing compliance culture, their history of documentation and recordkeeping, and their ability to demonstrate their commitment to compliance. … Read More
Michelle Jacko to Speak at the Raymond James 2024 Empower Conference… Read More
Structuring a business strategically plays a major role in optimizing benefits and in protecting the business from potential issues. Another important facet of strategically structuring a business is to plan for the unexpected and put in place safety nets and contingency plans in the event of a business threat. This is the core principle of risk mitigation. What happens if a business owner is unable or unwilling to pay off a personal debt? Can creditors come after their business assets? It depends.… Read More
Jacko Law Group Managing Partner Michelle Jacko will speak at the National Society of Compliance Professionals (NSCP) National Conference that will be held in Dallas, Texas, from October 27 to October 30, 2024.… Read More
Succession planning is an integral part of any business’s long-term objectives toward continuity. It is important to have a comprehensive, frequently reviewed, and updated plan that lays the blueprint for what happens when the head of a business or other key members of the organization are on a planned or unexpected leave of absence. Businesses that do not have a succession plan could face many challenges, especially if the departure of the owner is unexpected. However, for small to midsized firms, the challenges could be crippling. … Read More
Jacko Law Group Managing Partner Michelle Jacko to speak at the Schwab Fall Compliance Update on September 19, 2024… Read More