Posts from 2021.
ERISA: Requirements for Fund Managers

Fund Managers have quite a bit of responsibility to manage and it can be overwhelming to comply with the patchwork of federal and state laws, regulations, statutes, opinion letters, and duties that govern their activities.

Important Considerations for Your Initial Examination Document Request

In a perfect world, your preparation for a regulatory exam would begin no later than the first day your firm is open for business. Every adviser registered under Section 203 of the Investment Company Act of 1940 (the ’40 Act) is required to make and keep accurate books and records relating to its investment advisory business.

Don’t Panic! Three Things to Remember when Contacted by SEC/FINRA

One of the more frequently asked questions our team at Jacko Law Group, PC (“JLG”) answers is whether to (and how to) respond when contacted by the state or federal securities regulators, including the U.S. Securities and Exchange Commission (“SEC”).

Support and Counsel to Boards of Directors,
 Board Committees and Executives

When considering a merger, acquisition, or divestiture, significant responsibility rests with a company’s managers and board of directors. Much is at stake for the firms, employees, and shareholders or members involved. Minimizing and mitigating company risk is essential toward achieving a successful transaction and affecting a seamless transition.

Limited liability company Managers, limited and general partners, corporate executive officers, and members of the Board of Directors frequently engage outside services to assist in the merger and acquisition (“M&A” ...

Assembling the Right Legal Team for Your M&A

Mergers and Acquisitions are often exciting and pivotal events in a company’s history, no matter which side of the equation your company is on.

But Mergers and Acquisitions can also be complicated, time consuming, and expensive. Whether it is a share exchange, asset purchase, share purchase, or merger, it is important to ensure that business transactions are done correctly, while minimizing risk.

The Regulatory Considerations for M&As and Transition Planning 

Mergers and acquisitions are becoming increasingly commonplace as a result of strategic transition planning. Each of these scenarios has a series of regulatory compliance considerations the business must face, whether on the breakaway path or on the merger and acquisition side.

There are many facets to merging, acquiring or owning and operating an independent business other than merely developing new corporate governance documents and registering, as needed, with the appropriate regulatory body.  From unveiling new product and service offerings to research, trading ...

Financing, Capital, and Ownership Structures

Corporate transactions categorized as Mergers & Acquisitions (“M&A”) generally include asset purchase agreements, mergers, reverse mergers, stock purchase agreements, share exchange agreements,  consolidations, tender offers, and other transactions involving the combination of two or more companies.  A transaction can fail to meet expectations when too much time is spent determining how much to pay for an acquisition and not enough thought given to how the deal will be financed. In this section, we’ll review various ways capital can be used to fund an acquisition and ...

 The Essentials of a Purchase and Sale Agreement

You’ve reached the stage of the merger and acquisition process where you’ve completed the due diligence process and are ready to put pen to paper.

This is when every paragraph, sentence, and word should be reviewed by experienced professionals to successfully draft contracts for the sale of companies. In most cases, the purchaser and their legal advisors are already at work preparing the first version of the purchase agreement.

Those involved in their first acquisition can be overwhelmed by the numerous complexities that must be addressed. The qualified team of merger and ...

What to Know About Your Mergers & Acquisitions Process

Strong secular trends, supportive financial markets, and concerns surrounding unknown changes to upcoming tax legislation have fueled a surge of activity in the area of mergers and acquisitions (“M&A”). The trend is expected to continue as companies seek a competitive edge in a post-pandemic environment. 

Private Equity and Your Regulatory Compliance Counsel

Private Funds offer unique and varied opportunities in the securities industry. With these opportunities come a complicated legal minefield as to navigating the rules and regulations of operating a Private Fund.

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