California Securities Investment Adviser Lawyers: Securities Law and Corporate Counsel

Jacko Law Group, PC (JLG) provides securities law and corporate counsel services to investment advisers, broker-dealers, hedge funds, investment companies, compliance officers, financial advisors, banks, lending institutions and corporate clients nationwide. We provide our clients with comprehensive legal services from experienced legal professionals.

JLG can assist you with a broad range of legal services, which include:

Counsel Services

  • General Corporate Counsel — Creating or revising corporation governance structures, advising boards of directors, revising policies and procedures, contract drafting and negotiations, and mergers and acquisitions
  • Investment Advisory and Management Counsel — Formation of investment companies and advisory firms; providing guidance regarding the use of solicitors, applying advisory regulations to your business model, guiding an ongoing compliance program, and addressing risk management concerns for hedge funds
  • Private Equity and Hedge Fund Counsel — Assisting with due diligence and compliance issues, providing guidance on transactions and best practices, evaluating agreements, and creating fund structures
  • Broker-Dealer Counsel — Addressing legal and regulatory considerations regarding broker-dealer formation, the use of finders, expungement proceedings for CRD records, the application of the Financial Industry Regulatory Authority (FINRA) regulations to your business model, and cash/non-cash compensation
  • Mergers and Acquisitions Counsel — Contract assessment of negotiations, guidance on merger operations and systemic risk, preparation of corporate filings, regulatory considerations, preparation of client disclosures and guidance on portability of performance
  • Regulation D Counsel — Addressing regulatory and legal considerations relating to Regulation D, including fund structuring, third-party service agreements, securities and commodity regulations, general solicitation and advertising exemptions, intellectual capital protection, and employment-related agreements

Formation Services

  • Corporate Formations — Guidance on corporate entity selection, filing formation documents, drafting partnership agreements, operating agreements or bylaws and obtaining a tax identification number
  • Broker-Dealer Formation — Assistance through entire broker-dealer registration process, including completion of all New Membership Application (NMA) forms, supporting documents, registration of individuals and submission to FINRA. JLG also will customize and update your continuing membership agreement (CMA) and other information as your business structure evolves
  • Private Fund Formation — Counsel on Regulation D requirements, authoring or review of the fund offering memorandum or PPM, drafting of subscription agreements and pre-qualification forms and guidance on promoting the new fund
  • Registered Investment Advisor Formations — Assistance with registering the firm, including completion of Forms ADV, supporting documents, registration of personnel and submission to the SEC or applicable states. In order to begin managing assets, JLG also will customize client documents and formulate the compliance programs based on your unique business model
  • Breakaways — Analyzing current employment contract terms, advising on regulating compliance considerations, counsel on non-compete provisions and new business plan creation

Regulatory Compliance Legal Services

  • Mock Regulatory Exams — Conducting on-site mock examinations, providing risk assessment evaluations, report of initial findings and summarizing final testing results with recommendations
  • Regulatory Examinations and Inquiries - SEC and FINRA — Includes prompt, well-considered responses to any and all inquiries by the Securities and Exchange Commission (SEC), FINRA, states or other regulatory agencies, communicating with regulators, guiding the client through the process, and serving as an advocate for the client
  • ERISA — Establishing fiduciary duties as well as reviewing advisory agreements and investments for ERISA compliance.
  • Family Office — Providing guidance through the SEC requirements for family offices and analyze whether or not you are required to register with the SEC.
  • Risk Management — Providing risk management counsel for businesses, companies and corporations throughout California and nationwide. Avoid fraud and mitigate risk.
  • Form ADV and Client Disclosure Documents — Analysis, authoring, and/or enhancement of client disclosure documents, including Forms ADV, Form BD, Private Placement documents and client agreements
  • Contracts, Corporate Agreements and Other Documents — Analyzing, negotiating and drafting contracts and forms as well as recommending and preparing new agreements such as non-disclosure agreements, employment agreements, cost sharing agreements and services agreements
  • Creating and Maintaining Compliance Programs — Includes tracking regulatory changes and rule proposals, recommending the implementation of internal controls and customizing compliance calendars and checklists for the compliance team
  • Development of Policies, Procedures and Internal Controls — Authoring customized written policies and procedures and internal operational controls based on SEC or state requirements as well as the latest regulations and industry best practices
  • Testing of AML, BCP and Reg S-P Programs — Testing the firm's Anti-Money Laundering (AML) program, Business Continuity Plans (BCP) and Regulation S-P program, which includes ensuring the effectiveness of policies and procedures, internal controls and operational responses to potential "red flag" issues
  • Due Diligence — Performing due diligence on sub-advisors, new products, investment opportunities and internal controls
  • Performance Advertising — Review of marketing and performance advertising materials including websites, firm brochures, pitchbooks and more for compliance with SEC and FINRA regulations

For more information or to speak with a securities lawyer, call our California law office directly at 213-631-2549 or contact us online .