Whether you are starting a new investment advisory firm, changing your existing ownership, testing your compliance programs or simply trying to make sense of a new SEC rule or government regulation, having a legal team you can rely on for ongoing management counsel and support is a resource you cannot afford to do without.
At JLG, we provide timely, cost-effective legal advice and services that help investment advisory firms and managers do what they do best while maintaining compliance with the multitude of regulatory requirements. The ongoing counsel and support services offered by our Firm and professional staff include:
- Transitioning to a new business association (such as an independent RIA)
- Compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other legislation pertaining to investment advisers and their representatives
- Mock SEC examinations and firm risk assessments
- Responses to regulatory inquiries and investigations
- Review and assessment of client disclosures in Forms ADV, Offering Memorandums, performance marketing materials and RFP responses
- Counsel regarding fiduciary obligations, reporting and recordkeeping requirements, soft dollar arrangements and best execution obligations, use of third-party solicitors and trade allocation and aggregation considerations
- Creation, testing and maintenance of compliance programs
- Drafting, review and analysis of contracts, corporate agreements and other documentation
- Implementation of compliance technology solutions
- Assistance in completion of all ongoing registration forms, submission of supporting documentation and filing with the SEC and appropriate state offices
- Authoring and updating of written policies and procedures manual
- Customized Codes of Ethics
- Development of Regulation S-P policies (privacy notices) including processes to safeguard confidential client information
- Testing and assessment of anti-money laundering, business continuity plan and Reg S-P privacy programs
- Analysis of proxy voting processes, including recordkeeping
Jacko Law Group, PC provides ongoing counsel, support and legal services to investment advisory and investment management 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