Private Fund Regulation: SEC Examination And Enforcement Hot Topics – Part 2
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Private Fund Regulation: Sec Examination And Enforcement Hot Topics – Part 2 in January, 2012.… Read More
Private Fund Regulation: SEC Examination And Enforcement Hot Topics – Part 1
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Private Fund Regulation: Sec Examination And Enforcement Hot Topics – Part 1 in December, 2011.… Read More
Private Fund Regulation: SEC Examination and Enforcement Hot Topics
Jacko Law Group, P.C. (“JLG”) wrote the article titled Private Fund Regulation: SEC Examination and Enforcement Hot Topics which was published in the National Society of Compliance Professionals (NSCP) Currents’ November/December 2011 issue. … Read More
Tips from the Regulators: How to Conduct Robust Branch Office Inspections
The SEC and FINRA have issued a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function. The Risk Alert noted that the branch inspection process…
NASAA Provides Guidance on Top IA Deficiencies in State Examinations
The North American Securities Administrators Association (“NASAA”) recently released a set of examination findings which identify the common compliance deficiencies for state registered investment advisers. The press release listed the top deficiencies revealed in a series of coordinated state examinations…
Ongoing SEC Focus: Regulation S-P And Consumer Privacy
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Ongoing Sec Focus: Regulation S-P And Consumer Privacy in April, 2011.… Read More
Post Madoff Regulatory Exams – Survival Of The Compliance Fittest
Tina Mitchell wrote a Legal Tip for Jacko Law Group titled Post Madoff Regulatory Exams – Survival Of The Compliance Fittest in June, 2010.… Read More
SEC Releases Significant Amendments To The Custody Rule (Rule 206(4)-2)
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Releases Significant Amendments To The Custody Rule (Rule 206(4)-2) in January, 2010.… Read More
The Evolving World of Compliance
Michelle L. Jacko wrote a Legal Tip titled The Evolving World of Compliance in October, 2009.… Read More