- Benefits of Outsourcing General Counsel
- Best Practices to Use During the SEC Exam
- CA agencies suspend non-complaint LLCs
- Careers
- Code of Ethics for the Compliance Professional
- Contact Us
- Creating and Managing Offshore Funds
- Disclaimer
- Events
- Firm Overview
- Form ADV Part 2 Proposal
- Home
- IARD Conversion Q&A
- Investment Adviser Compliance Programs: What CCOs Learned in the First 18-Months
- JACKO.LAW.GROUP_Legal Risk Management Tip 10 2008 Lori Richards Keynote Address - What to do as Compliance Professionals_11.11.08
- JLG Legal Risk Management Tip 08.2009 - Fundamentals to Recommending Private Equity Fund Investments
- Legal Regulatory Considerations Going Independent
- Looking Ahead Red Flags Rule
- METADATA. Hidden Electronic Information with Hidden Risks
- New Form D Requirements
- Newly Proposed Changes to Regulation S-P
- News Room
- NSCP Currents - July-August 2009 - The Private Fund Investment Advisers Registration Act of 2009
- NSCP Currents - Privacy Best Practices on Regulation S-P
- NSCP Currents - The Private Fund Investment Advisers Registration Act of 2009
- NSCP Privacy Testing and Practices 11 2009
- NSCP Reprint Privacy Testing and Practices 11 2009
- Obama Financial Reform in the Securities Market
- Practice Areas
- Broker-Dealer Counsel
- Broker-Dealer Formation
- Client Disclosure Documents
- Contracts, Agreements & Other Documents
- Creating & Maintaining Compliance Programs
- Formation of Hedge Funds
- Formation of Investment Advisers
- Investment Advisory & Management Counsel
- Legal Considerations for Breaking Away
- Mergers & Acquisitions
- Mock Regulatory Exams & Risk Assessments
- Response to Regulatory Inquiries
- Testing of AML, BCP and Reg-SP Programs
- Transitioning to a New Business Model
- Written Policies, Procedures & Internal Controls
- Privacy Protections Required by Securities Firms
- Professionals
- Regulation of Financial Planners
- Regulators React to Growth
- Resources
- SEC Announces New SAR Alert Message Line and AML Source Tool for Mutual Funds
- SEC RELEASES SIGNIFICANT AMENDMENTS TO THE CUSTODY RULE
- The Evolving World of Compliance
Los Angeles Area Securities Law
Suite 208