Preparation For SEC, State & FINRA Examinations
Preparing for and responding to regulatory exams by the SEC, FINRA or the state can be overwhelming. Jacko Law Group, PC (“JLG”) has established a Quick Response Team (QRT) that has extensive experience in handling regulatory examinations and can assist you with:
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- Guidance on what to expect and how to prepare for the onsite examination
- Mock interviews with—and training of—personnel
- Liaising with regulators on complex issues, document requests, and production
- Review of books and records prior to submission
- Representation before and during the onsite examination
- Responding to regulatory deficiency letters
Timely & Effective Responses to Official Inquiries
Response to inquiries from the SEC, FINRA, or other regulatory bodies must be prompt, carefully considered, and accurate in addressing each issue or deficiency, particularly if allegations of securities law violations are involved. At JLG, we understand our clients and know their businesses. This enables us to provide prompt, effective responses to regulatory inquiries and allegations at both the state and federal levels. Having extensive experience in responding to SEC, FINRA and other official inquiries, JLG is prepared to respond to any number of issues or claims, including:
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- Breach of fiduciary duty
- Negligent misrepresentation
- Account churning
- Unauthorized trading
- Making unsuitable investments
- Insider trading
- Failure to adequately supervise registered representatives
- Improper or inadequate due diligence
- Improper registration
- Unregistered securities
- Market manipulation
- Failure to provide adequate disclosures or properly advise clients of investment risks
- Failure to diversify and/or over-concentration of securities
- Improper sales practices
- Expungement of customer complaints or inaccurate disclosures
Effective Enforcement Counsel By Your Side
It is our sincere hope that a regulatory exam or inquiry will not lead to enforcement. However, if this happens, it is essential to have SEC and state regulatory counsel by your side. Our lawyers are ready to provide you with guidance on how to proceed, whether by submitting a Wells notice, negotiating settlement, or going forth with an administrative proceeding.
JLG provides time-sensitive, effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers, and other financial and securities industry clients throughout the United States.
Adviser Regulatory Compliance Services
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- Performance Advertising Disclosures & Compliance Marketing Reviews
- Due Diligence
- Regulatory Examinations & Enforcement Counsel
- Written Policies, Procedures & Internal Controls
- Creating & Maintaining Broker-Dealer Compliance Programs
- Contracts, Agreements & Other Documents
- Form ADV & Disclosure Documents
- Risk Management
- Family Office Counsel
