You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.
It is crucial that your Firm adopts written policies and procedures that mitigate your risk down the road. For example, you should author a code of ethics that is customized to your business and establish best execution, trade allocation, and other practices to create consistency in how your business is conducted.
Additionally, you should develop succession plans, business continuity responses, cybersecurity protocols, and confidentiality, privacy and intellectual property protections so that your firm is prepared for, and protected from, the unexpected.
Jacko Law Group and its skilled team of experienced securities and corporate attorneys can help develop and review these internal controls and offer qualitative legal advice and ongoing support as your business continues to grow.
JLG’s ongoing regulatory compliance and risk management services include:
- Guidance on the development, implementation, and maintenance of compliance programs
- Mock regulatory exams
- Testing of compliance internal controls
- Compliance with SEC, FINRA and state rules and regulations
- Preparation for, and representation during, SEC, FINRA and state Examinations
- Ongoing risk assessments
- And due diligence services
Our attorneys also offer ongoing counsel to investment advisers concerning mergers and acquisitions, new products and services such as private funds, contract reviews, responses to regulatory inquiries and other investment advisory support services.
For more information about our risk management services for IA firms, call us at 619-298-2880 or visit jackolg.com.