Jacko Law Group, PC provides securities law and corporate counsel services to investment advisers, broker-dealers, hedge funds, investment companies, compliance officers, financial professionals, banks, lending institutions and corporate clients nationwide.
An abbreviated list of the various legal
issues our firm can assist you with may include:
- Broker-Dealer Formation — includes S-Corps, LLC and LP formations, broker-dealer and registered investment adviser formations, application and registration processes, compliance program development, supervisory procedures and more
- Mergers & Acquisitions — includes contract negotiations, merging or programs corporate filings, regulatory considerations, client disclosures, portability of performance and much more
- Transitioning to a New Business Model — includes review of legal and regulatory considerations, business restructuring, establishment of compliance programs, creation of client documents and much more
- Breakaways — includes the analysis of current employment contracts, compliance considerations, non-compete concerns, business plan creation, and more
- Mock Regulatory Exams — includes on-site mock examination, risk assessment evaluation, report of initial findings, and final testing results with recommendations
- Response to Regulatory Inquiries — includes prompt, well-considered responses to any and all inquiries by SEC, FINRA, the states or other regulatory agencies
- Contracts, Corporate Agreements and Other Documents — includes negotiation and drafting of new contracts/agreements, review and analysis of existing forms and documents, development of non-disclosure agreements and more
- Client Disclosure Documents — includes the analysis and authoring of/or enhancement with existing disclosure documents, including Forms ADV, Form BD, Private Placement documents, subscription agreements and more
- Broker-Dealer Counsel — includes legal and regulatory considerations regarding broker-dealer formation, use of finders, expungement proceedings for CRD record, applicability of FINRA regulations to your business model, cash/non-cash compensations analysis and more
- Investment Advisory & Management Counsel — includes investment company and investment adviser formations, use of solicitors, applicability of advisory regulations to your business model, ongoing compliance program advisement, risk management concerns for hedge funds and more
- Creating & Maintaining Compliance Programs — includes tracking regulatory changes and rule proposals, and recommending implementation of internal controls in response to new regulations and official advisories
- Written Policies, Procedures & Internal Controls — includes a comprehensive annual review of written policies and procedures and internal operational controls, with updates on the latest regulations and deficiency findings
- Formation of Hedge Funds — includes counsel on Regulation D requirements, authoring or review of the fund offering memorandum, creation of subscription agreements, pre-qualification forms and much more
- Formation of Investment Advisers — includes formation, completion of all registration forms, development of compliance program, review of marketing materials (including responses to RFP's and questionnaires) and more
- Testing of AML, BCP and Reg-SP Programs — includes the creation of your Anti-Money Laundering (AML) program, Business Continuity Plan (BCP) or Regulation S-P programs, including ongoing maintenance calendar, development of policies and procedures, formation of internal controls, operational responses to SEC or FINRA deficiency findings and more
For more information or to speak with a securities attorney — contact our San Diego law office directly at 619-298-2880 or contact us online.
Suite 208