Recently, the Securities and Exchange Commission (SEC) brought charges against Institutional Shareholder Services Inc. (ISS), a company that advises large investors on corporate proxy issues, claiming that ISS failed to safeguard its clients’ confidential votes. Specifically, the SEC claimed that…
The Legal Tip for Jacko Law Group titled Referral Fees And Referral Arrangements: What You Should Consider was written in February, 2013.… Read More
On September 29, 2011, the SEC issued a Risk Alert warning of concerns regarding trading through sub-accounts, and offered suggestions to help the securities industry address those risks. Generally, in the master/sub-account trading model, a top-level customer [1] opens an account with…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Best Practices For The Due Diligence Process in April, 2010.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fundamentals to Recommending Private Equity Fund Investments in August, 2009.… Read More