Making the decision to break-away or start your new adventure as an investment advisor is exciting! However, the process itself could seem overwhelming and burdensome without the proper assistance. If you are considering registering as an investment adviser with a state, this month’s Legal Risk Management Tip is for you.… Read More
Unless you have been avoiding financial news and market analysts during 2020 and 2021, you have heard discussions regarding Special Purpose Acquisition Company(ies) (“SPACs”). SPACs have been around for decades, but their use has recently skyrocketed as companies consider alternative exit strategies during the Covid-19 pandemic, as it created uncertainty on the public and Initial Public Offering (“IPO”) market.… Read More
Among the most notable workplace trends in recent years has been the growing number of financial advisors seeking to breakaway and transition their careers. To many, the allure of joining a registered investment advisory (RIA) firm or launching a new RIA is the desire for greater independence and increased compensation.
Given the current regulatory landscape, good intentions just aren’t good enough. Companies need to be actively protecting themselves and their personnel from liability.
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (“EXAMS” or the “Division”) released its annual priorities on March 3, 2021 in a 42-page report of exam priorities. Among other things, the list includes an ongoing emphasis on the overall strength of financial advisers’ compliance programs and a growing interest in the evolving risks to investors related to relevant climate and environmental, social, and governance (ESG) funds.
In a previous blog post, we discussed a few key areas for consideration regarding a firm’s annual review. We covered the integral area of the Code of Ethics – but in today’s blog post we focus on the importance of analyzing your firm’s policies regarding custody.
CEO & Managing Partner Michelle Jacko was quoted by The Financial Services Network in their article, "Modern Practice Management, Pt. 2: Why Small RIAs Are Stranded When Succession Planning" on November 5, 2019. The article discusses succession planning, specifically for … Read More
The proper valuation of client assets is of critical importance for investment advisers. A failure on the part of firms to properly value assets adversely affects key areas of fund operations, including but not limited to: Over or under…
The Legal Tip for Jacko Law Group titled What RIAs Should Focus On In 2017: Regulatory Hot Topics – Mar. 2017 #2 in was written March, 2017.… Read More
Jacko Law Group, P.C. (“JLG”) wrote the article titled Cover Your Legal Bases When Breaking Away which was published in the Financial Advisor IQ on June 2, 2016.… Read More