Posts from October 2020.
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.

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