Trading Suspensions — The Causes and Effects
The Securities and Exchange Commission (“SEC”) recently released an investor bulletin to educate investors about trading suspensions…
The Securities and Exchange Commission (“SEC”) recently released an investor bulletin to educate investors about trading suspensions…
Deloitte Touche Tohmatsu LLC, commonly referred to as Deloitte Japan, has agreed to pay $2 million in settlement charges to the Securities and Exchange Commission (“SEC”) for violating the SEC’s auditor independence rules. According to the SEC, Deloitte Japan…
Michelle L. Jacko wrote the article titled Tips on How to Prepare for Your Next Examination Part 2 which was published in the National Society of Compliance Professionals (NSCP) Currents’ April, 2019 issue. … Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P. in April, 2019.… Read More
The SEC’s Division of Enforcement continues its efforts to protect retail investors, gaining reparations for victimized investors in an action against yet another Ponzi scheme. At the end of January, the Securities and Exchange Commission (SEC) announced that the…
Michelle L. Jacko wrote the article titled Tips on How to Prepare For Your Next Examination: Part 1 which was published in the National Society of Compliance Professionals (NSCP) Currents’ March, 2019 issue. … Read More
Michelle L. Jacko wrote the article titled How Risk Alerts Can Help You Prepare for Your Next Examination which was published in the Wolters Kluwer Newsletter in March/April. 2019. … Read More
Cybersecurity and information security protocols have become industry-wide priorities, both to the regulatory bodies that oversee our business practices and to the customers who trust that firms’ policies and procedures are up-to-date and robust. This same principle extends also…
The Legal Tip for Jacko Law Group titled Succession Planning 101: FAQs to Consider was written in March, 2019.… Read More
The statement that appears atop the Securities and Exchange Commission (“SEC”) website reads as follows: “The Securities and Exchange Commission is currently open, fully staffed and focused on our mission. With a short-term Continuing Resolution signed into place, all…