2018 SEC Enforcement Cases: A Year In Review
The Legal Tip for Jacko Law Group titled 2018 Sec Enforcement Cases: A Year In Review was written in December, 2018.… Read More
The Legal Tip for Jacko Law Group titled 2018 Sec Enforcement Cases: A Year In Review was written in December, 2018.… Read More
While at times the rigorous regulations imposed upon firms can seem burdensome, they exist for a reason – to help prevent violations of federal securities law. Bad actors, who are a staple of the modern era, are emboldened by the…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Prepared Are You for an SEC Examination? in July, 2018.… Read More
When the 2018 Exam Priorities were released by the SEC, few were surprised to learn that risk to retail investors (especially seniors and those saving for retirement) would be at the top of the list. With the Baby Boomer…
Though we’ve known ever since the SEC released its exam priorities for 2018 that cybersecurity would continue, as in years past, to be a priority, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently announced a plan for a…
When the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year’s themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled 2017 SEC Examinations Focus Areas in January, 2017.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How They May Impact Your Compliance Program in February, 2016.… Read More
Michelle L. Jacko wrote the article titled Practical Tips for Preparing for Your Next Regulatory Examination which was published in the Thomson Reuters Accelus’ September 23, 2014 issue. … Read More
The question “how are private equity firms doing?” was asked back in 2012 by the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”), in response to the growth of this industry. In October 2012, OCIE launched…