Posts from 2020.
Considerations for Your IP and Brand Protection

The way we conduct business is constantly evolving. During these times of change, protecting your intellectual property and corporate brand is essential.

A Forgettable Year for Small Business Ends with Memorable Changes to SEC Regs for Exempt Offerings

In general, small businesses tend to be more vulnerable in an economic downturn because they lack the financial cushion many larger companies have. Since the creation of the Federal Reserve System in 1913, large businesses have benefited from a more favorable regulatory framework and from liquidity backstops that the Fed has used to fortify weakness in financial markets.

Third Set of Modifications to CCPA Prompts California Businesses to Revisit Policy on Consumer Data Privacy

The comment period has closed on the third round of proposed changes to the California Consumer Protection Act ("CCPA"), which were announced October 12, 2020, by the California Office of the Attorney General. There are a number of disputes regarding how the proposed revisions will impact a California consumer, but a number of the proposed revisions appear to address the manner in which a consumer may engage in the opt-out collection process.

Area of Focus for Your Annual Review: Custody

In a previous blog post, we discussed a few key areas for consideration regarding a firm's annual review. We covered the integral area of the Code of Ethics - but in today's blog post we focus on the importance of analyzing your firm's policies regarding custody.

Area of Focus for Your Annual Review: Code of Ethics

The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).

SEC Proposes a Big Exemption to Assist Small Businesses in Raising Much-Needed Capital

The COVID-19 pandemic has decimated small business at an unprecedented rate and sent the U.S. unemployment rate to its highest level since the Great Depression, reaching a high of 14.7% in April 2020.

Posted in Broker-Dealers
Strategic Guidance with JLG's General Corporate Counsel Service

JLG provides a wide range of general corporate counsel services. No matter how complex the issues, our team can guide you through the decision-making process – for a single project or critical ongoing business needs.

Recent Insider Trading Case at Amazon Offers Useful Reminders for Compliance Departments

Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.

On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.

Navigating a Successful Merger or Acquisition

Whether you are considering a merger, acquisition, asset purchase or some other type of business transaction involving a competitor or compatible business, the number of factors that must be considered can be overwhelming.

Remaining Vigilant Against Investment Fraud During the COVID-19 Pandemic

Stress created by high jobless rates. Acrimonious political debate over acceptable levels of federal assistance. Rampant fear and uncertainty while awaiting the arrival of an effective coronavirus vaccine.

Recent Posts

Topics

Archives

Contributors

Jump to Page

This website uses cookies to enhance your browsing experience and improve functionality. By continuing to browse this website, you are accepting our use of cookies in accordance with our privacy policy.