There are many ways to create, implement and maintain the range of various compliance programs needed by broker-dealers, investment advisory firms, hedge funds and other businesses in the securities and financial services industries.
Our Firm can help clients do it right from the start.
At JLG, we consider the unique characteristics and aspects of our clients' businesses and provide compliance solutions that are tailored to meet the specific needs of each situation. Because of our commitment to invest time at the outset of the client relationship, JLG more fully understands our clients' business and the professionals who make it a success. With this information, JLG is able to better understand the client's immediate and long-term goals and define our role in achieving them.
The ongoing counsel and support services offered by our Firm and professional staff related to your compliance program needs include:
- Review and evaluation of your existing compliance program based on applicable SEC, FINRA and other regulatory requirements, including recent legislative changes
- Creation, implementation and maintenance of new programs (such as anti-money laundering, business continuity and Regulation S-P programs)
- Assessment of compliance risks due to a new product or service offering
- Compliance with ERISA and department of labor requirements
- Evaluation of corporate governance efforts
- Appraisals of potential compliance or conflict of interest issues raised as a result of a proposed merger or acquisitions
- Analysis and review of written policies, procedures and internal controls, including recommendations for necessary enhancements
- Mock regulatory interviews with senior management and staff
- Proactive analysis of proposed regulatory changes and assessment of potential effects
- Ongoing counsel and legal services to address new regulatory requirements
- Ongoing education and training on compliance program best practices
- Evaluation of prior compliance program reports and creation of a long-term compliance program based on resource considerations
- Annual compliance report presentation to the client's board of directors or chief executive officer
Jacko Law Group, PC provides ongoing counsel and support in analyzing existing compliance programs, and works to create, implement and maintain new programs for 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.
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