Investment Adviser Regulatory Counsel (SEC & State)
February 23, 2022
Investment Adviser Regulatory Counsel (SEC & State)
February 23, 2022
The focus on investor protections for SEC, FINRA and state regulated firms have never been higher. In particular, seniors, who represent an increasing part of the population, continues to be at the forefront of regulatory examinations, and should be at the forefront of compliance program protections.
This month's Risk Management Tip will focus on guidance from our Managing Partner, Michelle Jacko, who discusses the evolution of regulatory considerations for serving senior investors. Her article, "Meeting Current and Future Challenges of Serving Aging Clients" was published in Schwab's February 2022 Compliance Review.
Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (“JLG”), which offers securities, corporate, real estate, and employment law counsel to broker-dealers, investment advise...
