As the rising number of regulatory enforcement actions in recent years indicates client disclosure documents are being scrutinized more closely by regulatory authorities than ever before.
At JLG, we offer a full range of proactive services designed to provide you with comprehensive customized disclosure documents, which relay important information to clients and prospects, thus lessening the likelihood of having potential disclosures deficiencies.
Our Firm and professional staff provide services related to drafting and reviewing client disclosure documents in conformance with various legislative acts, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002.
After evaluating any existing client disclosure documents, we provide an assessment of our findings along with recommendations on how you may wish to enhance current disclosure documents. The various client disclosure documents we draft, evaluate and revise include, among many others:
- Form ADV Part II (the client disclosure brochure)
- Client agreements and new account forms
- Offering memoranda
- Private placement memorandums
- Equity research reports
- Advertising and sales literature
- Performance marketing materials
- Request for proposals (RFPs) and questionnaires
- Wrap-fee program client documents
- Mutual fund client documents
- Hedge fund client documents
- Investment policy statements
- Financial plans
- Quarterly performance reports
- Monthly/quarterly invoice statements
Jacko Law Group, PC creates, analyzes and revises client disclosure documents on behalf of broker-dealers, investment advisory firms, hedge fund managers, and other financial and securities law clients throughout the United States.
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