Creating And Maintaining Compliance Programs

There are many ways to create, implement and maintain the range of various compliance programs needed by broker-dealers, investment advisory firms, hedge fund managers and other businesses in the securities and financial services industries.

Our firm can help clients do it right from the start.

California Attorneys Handling Regulations Compliance Matters

At JLG, we consider the unique characteristics and aspects of your business and provide compliance solutions that are tailored to meet the specific needs of each situation.

We invest time at the outset of our engagement to fully understand your business and the professionals who make it a success. With this information, Jacko Law Group (JLG) is able to better understand the client's immediate and long-term goals and define its role in achieving them.

The ongoing counsel and support services offered by JLG and its professional staff for your compliance program needs include:

  • Review and evaluation of your existing compliance program based on applicable SEC, FINRA, state and other regulatory requirements, including recent legislative changes and proposed amendments
  • Creation, implementation and maintenance of new programs (such as cybersecurity)
  • Assessment of compliance risks due to new product or service offerings
  • Compliance with ERISA and Department of Labor requirements
  • Evaluation of corporate governance efforts
  • Appraisals of potential conflicts of interest issues
  • Assessment of internal controls for impending merger or acquisition
  • Analysis and review of written policies, procedures and internal controls, including recommendations for necessary enhancements
  • Mock regulatory interviews with senior management and staff
  • Education and training on compliance program best practices
  • Evaluation of compliance program reports and surveillance efforts
  • Annual compliance report presentation to the client's board of directors or chief executive officer
  • Assessment of compliance program technologies, with recommendations of new resources based on firm needs
  • Conduct, author and presentation of annual review to board of directors or senior management team

Jacko Law Group (JLG) 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.