Blog

Annual Reviews & Risk Assessments | Blog | Form ADV & Disclosure Documents | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

2024 Regulatory Considerations for Internet-based Investment Advisers

June 25, 2024 by

Would an adviser have to register in every single state in which they serve clients? In 2002, the U.S. Securities and Exchange Commission (SEC) responded to that issue by establishing the Internet Adviser Exemption Rule. On March 27, 2024, the SEC issued an amendment to the internet adviser rule to meet the advancements and saturation of technologies and to outline what it meant to offer investment advisory services online in today’s market. Another reason for amending the exemption was the concerning number of firms that were not meeting their compliance requirements.… 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

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance

Concerns Over Compliance Responsibilities Cause Pause for Broker-Dealers Considering Independence

May 28, 2024 by

Broker-dealers seeking to transition to the independent business model – either as a hybrid (where they would remain associated with a broker-dealer) or fully independent (at an RIA-only firm) hesitate due to several key considerations.… Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak at the NSCP Interactive Compliance Labs, Long Beach

February 28, 2024 by

Jacko Law Group Managing Partner Michelle Jacko will speak on Risk Management Beyond Assessment at the National Society of Compliance Professionals (NSCP) Interactive Compliance Labs. The event will be held on April 18, 2024, at the Pointe, California State University, Long Beach.  … Read More

SEC Filings
Blog | Investment Advisers | Investment Companies | Regulatory Compliance

SEC Rules on Deck for 2024

February 27, 2024 by

The Securities and Exchange Commission (SEC) ended 2023 with a bang, with over 780 enforcement actions and nearly $5 billion in financial remedies. With 25 new SEC rules scheduled to pass this spring and fall, those in the investment advisory space are well-advised to approach 2024 with a renewed commitment to optimizing their compliance program.… Read More

1 2 3 4 … 45