Referral Fees And Referral Arrangements: What You Should Consider
The Legal Tip for Jacko Law Group titled Referral Fees And Referral Arrangements: What You Should Consider was written in February, 2013.… Read More
News Alert: Mitigating Risks Associated with Master/Sub-Account Arrangements
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…
Best Practices For The Due Diligence Process
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Best Practices For The Due Diligence Process in April, 2010.… Read More
Fundamentals to Recommending Private Equity Fund Investments
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fundamentals to Recommending Private Equity Fund Investments in August, 2009.… Read More
Developments Under NASD Rule 3012 – Supervisory Control Systems
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Balancing the Roles of CCO and Legal Counsel
Michelle L. Jacko published the article titled Balancing the roles of CCO and Legal Counsel in the National Society of Compliance Professionals (NSCP) Currents’ January/February 2005 publication. … Read More