California Broker Dealer Policies Procedures Internal Controls Attorney

Are you achieving best execution and acting in the best interests of your clients? Do your supervisory procedures articulate who is responsible for which areas and describe the supervisory process? How will your firm's suitability practices fare under the regulator's microscope?

Without legal counsel, answering questions can become a daunting task.

At JLG, we help securities and financial services industry clients develop effective written policies, procedures and internal controls that help prevent abuses, detect and mitigate conflicts of interest, reduce firm risk and maintain compliance with firm protocols and regulatory requirements. This systematic approach helps to define the roles and responsibilities of the firm's senior management and area supervisors while promoting successful business practices for personnel to adhere to. To help accomplish this, ongoing counsel and support services offered by our Firm and professional staff may include:

• Creation, review or enhancement of Written Supervisory Procedures (WSPs) or written policies and procedures manual
• Development of GIPS® policies and procedures
• Development or review of Code of Ethics manual, including personal trading processes, mistreatment of material non-public information, protection of insider information and counsel on internal trading surveillance programs
• Guidance on constructing a "Chinese Wall," supervising interdepartmental communications communicating restricted and watch lists
• Employee training on new policies and procedures
• Development of Business Continuity Plan documents
• Development of Anti-Money Laundering policies and procedures, including an annual independent audit
• Analysis of portfolio management policies and procedures, including oversight of trading activities, allocation of mixed use items for soft dollar arrangements, assessment of investment opportunities and consistency with investor goals, disclosure of best execution practices and review of best execution processes and compliance with SEC and FINRA recordkeeping requirements
• Evaluation and implementation of recordkeeping and document retention policies
• Review and assessment of privacy policies and procedures regarding safeguards for protecting confidential client information
• Analysis of conflicts of interest processes
• Annual testing of policies, procedures and internal controls, with written assessment upon request

Jacko Law Group, PC provides ongoing counsel, support and legal services to help clients develop effective written policies, procedures and internal controls with a practical, systematic approach towards compliance.

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.