RIA, Private Fund, BD, etc.

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Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

Cybersecurity: Attacks, Risk Mitigation, and Regulatory Compliance

June 27, 2024 by

In an increasingly digital world, where financial transactions and sensitive information are often stored and transmitted electronically, investment advisers face a growing threat from cyber-attacks. The financial sector is a hot bed of sensitive personal and financial data making it a magnet for cybercriminals. … Read More

Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Private Fund Counsel | Regulatory Compliance | RIA, Private Fund, BD, etc.

SEC Private Fund Rules Overturned

June 6, 2024 by

On June 5, 2024, the Fifth Circuit Court of Appeals overturned the SEC’s New Private Fund Rules introduced in August 2023 (the “Private Fund Rules”). Given that the Private Fund Rules imposed several limitations and prohibitions that ran counter to the fundamental principles of a private fund, this was a significant victory for private fund advisers.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

So, You Have Been Sued…What Should You Do?

May 30, 2024 by

Litigation is a business risk that unfortunately most businesses will have to deal with at some point. Knowing what to do once you get sued and understanding the procedure will help make the process easier for you.  As your business grows, so does its chance of being involved in litigation whether it be with a former client or customer, a business partner, vendor, or an associate/employee. Despite the parties involved, as with any litigation, the plaintiff (the party filing suit) will have to serve process on the defendant (the party being sued). … Read More

Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | RIA, Private Fund, BD, etc.

Michelle Jacko to Speak at the InvestmentNews goRIA Masterclass

April 26, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will discuss Compliance: What You Need to Know to Get Your RIA Registered and To Keep It in Compliance at the goRIA MasterClass hosted by InvestmentNews. This virtual event will be held on June 13, 2024. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Securities Law Considerations Part 2: SEC Registered Funds, Exemptions and Regulatory Considerations

April 24, 2024 by

The Investment Company Act of 1940, as amended (“40 Act”) defines an “investment company” as an issuer primarily involved in the business of investing, reinvesting, or trading securities. It explicitly prohibits any engagement in buying and selling securities without SEC registration or a valid exemption. Hedge funds and comparable pooled investment vehicles fall under this definition if they meet one of the two exemptions.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Private Fund Counsel | RIA, Private Fund, BD, etc.

Securities Law Considerations for Investment Fund Formation: Part 1

March 26, 2024 by

Investment fund formation is the comprehensive process of establishing a collective investment vehicle that pools capital from multiple investors to engage in various securities or other financial asset investments. The primary goal is to provide investors with a professionally managed portfolio often designed to provide diversification, but equally as often to deploy funds into a specific asset class, or according to a particular investing philosophy, strategy, or methodology.… Read More