Ensuring Compliance with Federal Securities Law
Due diligence of investments, professionals and critical service providers is essential. For investment advisers, performing adequate due diligence is a fiduciary duty.
At Jacko Law Group, PC (“JLG”) we advise those who perform due diligence in preparation for your business transactions, fund formation, corporate mergers and securities purchases. Our attorneys have a sophisticated understanding of the securities industry. We have counseled hundreds of investment advisers, private equity/hedge funds, broker-dealers and professional financial advisers on compliance with federal securities regulations.
Our Due Diligence Services
To provide you with the background information that you need before starting your next venture, our corporate and securities attorneys and professionals can conduct research on third-party service providers as well as investment opportunities and the key individuals involved with those potential investments. During this process, we can examine:
- Compensation and fee practices
- Possible conflicts of interest
- Investment opportunities (products, performance track records, issuer’s background and associated involvement risks)
- The strength of the third-party service’s performance track record and reputation
- Management team background experience
- Any history of regulatory investigations
- Review of investor documents; And more
Protect Your Business with Due Diligence
At JLG we understand that trust is necessary in the securities industry. However, due diligence on business partners and projects is the only way to provide verification of their trustworthiness and avoid violating federal securities regulations.
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