The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight
Regulatory Compliance Watch Webinar | February 2, 2021 @ 11:00am to 12:00pm PT | Speakers: Michelle L. Jacko
NFA Permanently Bars Hong Kong Futures Firm
On June 1, 2020, the National Futures Association (“NFA”) permanently barred Hong Kong-based commodity pool operator Bainbridge Asia Limited (“BAL” or the “Firm”) and its sole principal and associated person, Wai Man Yip, from membership and acting as a principal … Read More
Want to Advertise to Help Differentiate Your Firm? Read This First
Ask chief compliance officers what keeps them up at night and you’ll find the approval of marketing materials, social media communications, and other forms of advertising rank high on the list. Two factors have combined to cloud best practices for … Read More
Episode 64: GIPS 2020 – Are You Ready?
On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020.
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
Regulatory Compliance Watch: The SEC’s New Proposed Advertising Rule (Webinar)
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
Failure to Supervise Third Parties: AXA Advisors, LLC Sanctioned by FINRA
In early May, the Financial Industry Regulatory Authority (FINRA) announced fines levied against AXA Advisors, LLC (AXA), a company that sells and services group annuity contracts for employer-sponsored 401(k) retirement plans through an affiliated life insurance company.
Wolters Kluwer – Common Compliance Violations Seen in 2018
Our CEO Michelle Jacko’s article, “Legal Risk Management Tip: Common Compliance Violations Seen in 2018,” was featured in the January/February 2019 edition of Wolters Kluwer’s Practical Compliance Risk Management for the Securities Industry.
Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges
Fraudulent messaging that affects retail investment decisions come in many forms, but the applicable regulatory statutes apply across all circumstances. That includes the use of social media. On August 7, 2018, Elon Musk made the decision to publicly announce on … Read More