Integral Factors for Your Firm’s Mock SEC Examination
When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.
Considerations for 2020 and Focus on SEC Exam Priorities
Manaing Partner & CEO Michelle Jacko’s article, Considerations for 2020 and Focus on SEC Exam Priorities, was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter.… Read More
OCIE Risk Alert—Examinations Focused on Initial Compliance With Regulation Best Interest
As firms work to prepare their updated disclosures and move toward compliance by June 30, 2020 with the new Regulation Best Interest (“Reg BI”), the Securities and Exchange Commission (“SEC”) made two important announcements. As a reminder, Reg BI establishes a new standard of conduct for broker-dealers and their associated persons when making a recommendation of any securities transaction or investment strategy involving securities (including account recommendations) to a retail customer.
SEC Examination Focus: Four Considerations for Vendor Relationships Within Your Business Continuity Plans (BCP)
Dedicated to investor protection and still fully operational nationwide, the SEC’s Office of Compliance Inspections Examinations (“OCIE”) announced that examinations will continue via online and virtual correspondence, in their most recent updated announcement on March 23, 2020.
Old, Familiar Fraud Found in New, Innovative Investments
On January 24, 2020, the Securities and Exchange Commission (“SEC”) charged a California-based couple with orchestrating a seven-year, nearly billion-dollar Ponzi scheme involving alternative energy credits through their solar generator companies.
Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020
The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.
Considerations for 2020 and Focus on the SEC Exam Priorities
On January 7, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its list of examination priorities for fiscal year 2020 (the “Priorities”). This annual publication is invaluable, for it highlights those areas which the … Read More
Life Cycle of an SEC Examination
Michelle L. Jacko presented on Life Cycle of an SEC Examination at the 2020 IAA Investment Adviser Compliance Conference on March 6, 2020.… Read More
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in Seattle on February 20, 2020.… Read More
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
CEO & Managing Partner Michelle Jacko will present on Anticipating the Inevitable: Preparing for the SEC in 2020 for a Schwab compliance event in San Francisco on February 12, 2020.… Read More