Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer. The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Michelle L. Jacko wrote the article titled Why Advisory Fees and Expenses Remain a Continued Regulatory Focus which was published in the National Society of Compliance Professionals (NSCP) Currents’ January, 2021 issue. … Read More
Each new year, rings in many new beginnings and changes; employment law in 2021 is no different. Many of these changes require the concurrent navigation of federal and state laws, as well as an understanding of the contractual requirements and implications imposed on companies and their employees.… Read More
Financial advisers and broker-dealers should conduct thorough and frequent reviews of their clients’ holdings in certain Chinese companies now that a November Executive Order that prohibits new U.S. investments in companies with alleged ties to China’s military has taken effect.
The U.S. Securities Exchange Commission’s has issued its new modernized Advertising Rule that is intended to replace the existing Advertising and Cash Solicitation Rules. The SEC release relating to the new Advertising Rule is a 430 page behemoth that will create a significant change to the manner in which advisers conduct their advertising and marketing activities.
The LawTV Video 7: JLG’s Latest Practice: Labor & Employment Counsel… Read More
Running your company or firm probably takes all the time and energy you have- and then some.
That’s why it’s important to have a skilled labor and employment team in your corner.
The Securities and Exchange Commission’s (“SEC”) Division of Enforcement released its Annual Report (the “Report”) last month, which discusses enforcement cases and responses that occurred during the 2020 fiscal year.… Read More
In today’s remote work environment, cybersecurity has become one of the Industry’s largest vulnerable components when servicing clients. As majority of the Industry has migrated to remote work and new communication technologies, this has forced more data and information to be susceptible to risk. In this blog post, we will discuss material nonpublic information and how we believe this will be an area of additional focus as the Industry gears up for 2021.