One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
Michelle L. Jacko will present on Charles Schwab Virtual Educational Event – SEC Hot Topics on March 31, 2022.… Read More
Michelle Jacko wrote the blog post, “Your Road Map to Leveraging 2021’s SEC Risk Alerts to Prepare for 2022,” for Jacko Law Group in December, 2021.… Read More
Michelle Jacko wrote the blog post, “How to Engage in Dialogue with an SEC Examiner,” for Jacko Law Group in October, 2021.… Read More
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "SEC Hot Topics – Keeping Focused on Top Compliance Priorities," on August 18th, 2021.… Read More
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (“EXAMS” or the “Division”) released its annual priorities on March 3, 2021 in a 42-page report of exam priorities. Among other things, the list includes an ongoing emphasis on the overall strength of financial advisers’ compliance programs and a growing interest in the evolving risks to investors related to relevant climate and environmental, social, and governance (ESG) funds.
Michelle L. Jacko will present on "Be in the Know: SEC Examination Priorities (Part 1)" for an exclusive Charles Schwab web series on February 17, 2021. … Read More
Michelle L. Jacko will present on Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021 for a Schwab Compliance Webinar on February 25, 2021.… Read More
The Securities and Exchange Commission’s (“SEC”) Division of Enforcement released its Annual Report (the “Report”) last month, which discusses enforcement cases and responses that occurred during the 2020 fiscal year.… Read More
When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.