When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.
Lengthy document requests, interview questions, and actual demonstrations will all be required to prove your "culture of compliance."
And make no mistake, compliance with regulatory requirements is at the heart of every examination, so investing time and resources into preparation is well worth it.
JLG provides customized, personalized Mock SEC Exam services that will help you prepare for the real thing.
JLG helps identify areas of risk and will provide guidance to your executive team on how to prepare. They will conduct mock interviews, prepare regulatory responses and connect with the regulators as needed.
The list of business areas subject to regulatory scrutiny can seem overwhelming, so let JLG's team assess your firm's readiness and offer recommendations to help improve the examination experience.
Running a successful firm is a full-time job. Being your ally to help mitigate risks and ensure you are ready when the regulators come knocking, is their job. To learn more call Jacko Law Group today, or visit www.jackolg.com.
Add a comment
- Navigating a Successful Merger or Acquisition
- Remaining Vigilant Against Investment Fraud During the COVID-19 Pandemic
- Starting a New Business? Don’t Overlook These Three Essential Considerations
- Starting Out: Mergers & Acquisitions (Part 2)
- Final California Consumer Privacy Act Rules Approved by OAL
- Integral Factors for Your Firm's Mock SEC Examination
- Starting Out: Mergers & Acquisitions (Part 1)
- SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders
- Considerations for Your Next Business Transition
- Three Things You Need to Know When Forming an RIA
- Investment Advisers
- Transition Services
- Due Diligence
- Securities and Exchange Commission (SEC)
- California Consumer Privacy Act (CCPA)
- Aging Clients
- Policies and Procedures
- Virtual Currency
- Advisers Act
- Dodd-Frank Act
- Broker Protocol
- Office of Compliance Inspections and Examinations (OCIE)
- Ponzi Scheme
- Securities Law
- Form U5
- Private Equity
- Private Funds
- Regulation Best Interest
- Hedge Funds
- Regulatory Examinations
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Wells Fargo