Regulatory Examinations and Enforcement Counsel Archives - Page 4 of 13

PricewaterhouseCoopers LLP pays $7.9 to Settle SEC Improper Professional Conduct, Auditor Independence Charges

November 21, 2019 by Jacko Law Group, PC

PricewaterhouseCoopers LLP has agreed to pay over $7.9 million to settle charges brought by The Securities and Exchange Commission (“SEC”). The SEC charges alleged that PwC, and its partner Brandon Sprankle, had engaged in improper professional conduct on 19 engagements on behalf of 15 audit SEC-registered issuers and violating auditor independence by performing non-audit services during an audit engagement.

Blog | Regulatory Examinations & Enforcement Counsel

SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards

October 15, 2019 by Jacko Law Group, PC

The Securities and Exchange Commission (“SEC”) has charged two Prudential subsidiaries with a failure to monitor and report conflicts of interest that proved costly to fund shareholders.

Blog | FINRA Broker-Dealer Regulatory Counsel | Form U5 Expungement Counsel

OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures

September 17, 2019 by Jacko Law Group, PC

The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative…

Strategic Guidance with JLG’s General Corporate Counsel Service

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Video Library

SEC Examinations | Michelle Jacko

August 21, 2019 by M. Jacko

SEC Examinations | Michelle Jacko… Read More

Blog | Broker-Dealers

Jury Returns Verdict for SEC in Case Against Broker Charged with Fraudulent Excessive Trading

August 21, 2019 by M. Jacko

The outcome of a recent jury trial in Manhattan has underscored the importance of the Securities and Exchange Commission’s new Regulation Best Interest and the Commission’s ongoing commitment to enforcing the standard of investment suitability for retail clients.

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Media Mentions

SEC Key Topics—And How to Prepare for an Examination

August 6, 2019 by M. Jacko

Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication.

Industry Publications | Private Fund Counsel

Private Fund Regulation: SEC Examination and Enforcement Hot Topics

August 5, 2019 by Jacko Law Group, PC

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

Industry Publications | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Best Practices to Use During the SEC Examination

August 1, 2019 by Jacko Law Group, PC

Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More

Due Diligence Counsel | Industry Publications

Balancing the Roles of CCO and Legal Counsel

August 1, 2019 by Jacko Law Group, PC

Michelle L. Jacko published the article titled Balancing the roles of CCO and Legal Counsel in the National Society of Compliance Professionals (NSCP) Currents’ January/February 2005 publication. … Read More

Events | Investment Advisers

Passing With Flying Colors: How to Prepare for an SEC Examination

July 29, 2019 by M. Jacko

Michelle L. Jacko presented on Passing With Flying Colors – How to Prepare for an SEC Examination at the Core Compliance and Legal Services’ 2019 Annual Core Compliance Workshop on January 28, 2019.… Read More