Legal Risk Management Tips
Three Considerations for an Investment Adviser’s Use of a Promoter Under the SEC’s New Marketing Rule
This month’s Risk Management Tip will further explore the new requirements for promoters who solicit on behalf of investment advisory firms.… Read More
A Breakdown of the SEC’s Amended Promoter Rule
This month’s Risk Management Tip will focus on the new requirements for Promotors including its applicability to investment advisers and advisers to private funds. … Read More
Form U5: The Importance of Engaging Securities Counsel Prior to Form U5 Submission/Disclosure
In this month’s JLG Risk Management Tip, we review issues relating to Form U5 disclosures and take a look at a hypothetical case study. … 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
Industry Publications
Meeting Current and Future Challenges of Serving Aging Clients
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
Managing Partner Michelle L. Jacko’s article, "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?," was published in the February 2021 issue of IAA’s Newsletter.… Read More
Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
Michelle L. Jacko wrote the article titled Why Advisory Fees and Expenses Remain a Continued Regulatory Focus which was published in the National Society of Compliance Professionals (NSCP) Currents’ January, 2021 issue. … Read More
What You Need to Know About M&As and Business Transitions
CEO Michelle Jacko’s article, What You Need to Know About M&As and Business Transitions, was published in the February 2021 issue of Lawyer Monthly Magazine.… Read More
Recent Blog Posts
How Often Should You Meet with Your Corporate Counsel Attorney?
Operating successfully requires effort from various areas of business such as accounting, information technology, investing and human resources. Companies also benefit from the insight of a professional familiar within their industry, including the laws, restrictions, and other regulations to keep … Read More
Essential Checklist for Employee Contracts and Onboarding
Establishing the talent to manage the steady increase of clients and employee turnover from COVID-related changes has created a trending issue for any industry. But the demand of the job market often underscores the value of a comprehensive employee contract … Read More
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
Video Library
Termination and Form U5 Counsel
The LawTV/Video Bolt Video 14: Assembling the Right Legal Team for Your M&A… Read More
Assembling the Right Legal Team for Your M&A
The LawTV/Video Bolt Video 14: Assembling the Right Legal Team for Your M&A… Read More
Private Equity and Your Regulatory Compliance Counsel
The LawTV/Video Bolt Video 13: Private Equity and Your Regulatory Compliance Counsel… Read More
Proactive Risk Mitigation
The LawTV/Video Bolt Video 12: Proactive Risk Mitigation… Read More
Events
Charles Schwab Virtual Educational Event – SEC Hot Topics
Michelle L. Jacko will present on Charles Schwab Virtual Educational Event – SEC Hot Topics on March 31, 2022.… Read More
2022 NSCP Virtual Educational Seminar – Navigating the Various Standards of Care/Conduct
On March 16, 2022 Managing Partner Michelle Jacko will be speaking on “Navigating the Various Standards of Care/Conduct,” for the 2022 NSCP Virtual Educational Seminar.… Read More
2022 Investment Adviser Compliance Conference – Annual Reviews
On March 3, 2022 Managing Partner Michelle Jacko will be speaking on “Back to Basics Track: Annual Reviews,” for the 2022 Investment Adviser Compliance Conference. During this session, Michelle an her co-panelists will discuss, “How the process of assessing the adequacy of policies … Read More
Regulatory Compliance Watch: SEC’s New IA Ad Rule
Managing Partner Michelle Jacko will be speaking on the “SEC’s New IA Ad Rule,” for Regulatory Compliance Watch’s Webinar on March 22, 2022. Join the webinar to ensure you and your firm are prepared for the November compliance deadline for … Read More
Media Mentions
Michelle Jacko Selected by SDBJ for CEO of the Year Awards 2022
We are proud and honored to announce that CEO Michelle L. Jacko has been included as a finalist for the 2022 CEO of the Year Awards by the San Diego Business Journal. According to SDBJ, “Now in its 17th year, the CEO of … Read More
SDBJ Recognizes Michelle Jacko – Women of Influence in Law 2022
We are excited to announce that the San Diego Business Journal has recognized Managing Partner Michelle Jacko as a Women of Influence in Law for 2022! Congratulations Michelle! Click here to learn more and see the full list of honorees.
Jacko Law Group, PC Adds Senior Attorney Michael Blackburn, Esq.
(San Diego, CA) May 4, 2022 – Jacko Law Group, PC (“JLG”), a San Diego-based law firm that provides securities and corporate counsel to the financial industry and beyond, announced that it has added Senior Attorney Michael Blackburn. Mr. Blackburn’s … Read More
8 Smart Compensation Practices for Wealth Management Firms
Managing Partner Michelle Jacko was featured in a Barron’s Advisor article titled “8 Smart Compensation Practices for Wealth Management Firms,” on January 4, 2022. “People want to have more say in the direction of their career and in the direction of the firm … Read More