Posts from January 2021.
Investors, Advisers Must be Mindful to Comply with New U.S. Ban on Estimated $1 Trillion of Chinese Securities

Financial advisers and broker-dealers should conduct thorough and frequent reviews of their clients’ holdings in certain Chinese companies now that a November Executive Order that prohibits new U.S. investments in companies with alleged ties to China’s military has taken effect.

Your First Meeting on the SEC’s New Investment Adviser Marketing Rule Should Address These Topics

The U.S. Securities Exchange Commission’s has issued its new modernized Advertising Rule that is intended to replace the existing Advertising and Cash Solicitation Rules.  The SEC release relating to the new Advertising Rule is a 430 page behemoth that will create a significant change to the manner in which advisers conduct their advertising and marketing activities.

JLG's Latest Practice: Labor & Employment Counsel

Running your company or firm probably takes all the time and energy you have- and then some.

That's why it's important to have a skilled labor and employment team in your corner.

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