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Archive 2016

JLG Legal Tips 2016

2016 SEC Enforcement Cases: A Year In Review – Dec. 2016

By: Robert Boeche, Esq., Attorney

Broker-Dealers, It's Time to Review Your Written Supervisory Procedure - Nov. 2016

By: David Sobel, FINRA Specialist

Back to Basics – Private Equity Compliance – Beyond Fee and Expense Practices – Oct. 2016

By: Robert Conca, Esq., Partner

Considerations When Forming a New Business - Sep. 2016

By: Robert Boeche, Esq., Attorney

Legal Considerations for Your Cybersecurity Program – Aug. 2016

By: Michelle L. Jacko, Esq., Managing Partner

Regulatory Requirements and Risks Associated with Conducting Due Diligence on Third-Party Service Providers – Jul. 2016

By: Robert Boeche, Esq., Attorney

CCO Liability: What You Need to Know – Jun. 2016

By: David M. Sobel, FINRA Specialist

Regulatory Considerations For Servicing Aging Clients - May 2016

By: Michelle Jacko, Esq., Managing Partner

Breaking Away: Vital Considerations for the Transitioning Advisor – Apr. 2016

By: Robert D. Conca, Esq.

Considerations When Purchasing an Investment Advisory Business - Mar. 2016

By: Robert Boeche, Esq., Attorney

SEC Examination Priorities In 2016: How They May Impact Your Compliance program - Feb. 2016

By: Michelle L. Jacko, Esq., Managing Partner

Private Equity – 2015 Enforcement Summary and What to Expect in 2016 - Jan. 2016

By: Robert Conca, Esq., Partner

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