JLG Legal Tips 2016
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
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
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