Proposed Legislation Could Mean SRO Oversight For Investment Advisers
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Proposed Legislation Could Mean SRO Oversight For Investment Advisers in May, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Proposed Legislation Could Mean SRO Oversight For Investment Advisers in May, 2012.… Read More
On October 12, 2011, the SEC, together with the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC), issued proposed regulations implementing Section 619 of the Dodd-Frank Act, popularly referred to…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled New Disclosure Obligations For Service Providers To Erisa Plans in August, 2011.… Read More
With its new whistleblower program officially becoming effective on August 12, 2011, the SEC launched a new webpage for people to report violations of the federal securities laws and apply for a financial award. Prior to the enactment of the…
Beginning December 1st of this year hedge fund managers, private equity firms and investment advisers doing business in Massachusetts will need to have policies and procedures in place to address that state’s new regulations aimed at overseeing the use of…
Jacko Law Group, PC (JLG) offers clients high quality legal counsel and representation on all regulatory, compliance and securities law matters. With unsurpassed expertise in the increasingly complex and highly regulated financial securities industry, JLG is uniquely situated to…… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Developing Internal Reporting Mechanisms In The Wake Of The Whistleblower Incentive Program in September, 2010.… Read More
Michelle L. Jacko wrote a Legal Tip titled The Evolving World of Compliance in October, 2009.… Read More
A Legal Tip was written titled Obama Financial Reform in the Securities Market in July, 2009.… Read More