Why Intellectual Property is Important and What it Means for Your Business
Among the more frequently overlooked aspects of running a business is the importance of proactive steps to legally protect your products, services, and unique ideas. Advisors are justifiably preoccupied with clients and employees but safeguarding your firm’s intellectual property (IP) … Read More
Three Steps to take for a Positive SEC Examination Experience
Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
Red Flags: How to Prepare Your Team for an SEC Visit
The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
Fiduciary Duties of Investment Advisers and the recent SEC Treatment of Hedge Clauses
In this month’s JLG Risk Management Tip, we will review the U.S. Securities and Exchange Commission’s (“SEC”) recent guidance on the Duty of Care and Duty of Loyalty. … Read More
Additional Document Production: Key Elements to the Secondary Request
One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
Do’s and Don’ts of Document Production For the SEC
Although not comprehensive, the team at Jacko Law Group, PC (“JLG”) believe the following list provides a great starting point for firms on what to do and what not to do during document production for review by the U.S. Securities and Exchange Commission’s (SEC’s) Division of Examinations.… Read More