Legal Risk Management Tips
How to Engage in Dialogue with an SEC Examiner
Michelle Jacko wrote the blog post, “How to Engage in Dialogue with an SEC Examiner,” for Jacko Law Group in October, 2021.… Read More
What You Need to Know When Registering with the State as an RIA
Rachel Edwards and Raquel Vazquez wrote the blog post, “What You Need to Know When Registering with the State as an RIA,” for Jacko Law Group in September, 2021.… Read More
What is a SPAC
Jennifer Trowbridge and Raquel Vazquez wrote the article “What is a SPAC,” for Jacko Law Group in August, 2021.… Read More
Industry Publications
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
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 … Read More
Tips on How to Produce the Right Document for an Examination
Firms registered with the U.S. Securities and Exchange Commission (SEC), should regularly ask themselves when – not if – they will be examined. With that in mind, the team at Jacko Law Group, PC (“JLG”) has a few best practices on how … Read More
Video Library
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
Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements," on September 15th, 2021.… Read More
SEC Hot Topics – Keeping Focused on Top Compliance Priorities
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "SEC Hot Topics – Keeping Focused on Top Compliance Priorities," on August 18th, 2021.… Read More
Compliance Expectations for 2021 (Part 2)
Michelle L. Jacko will present on "Compliance Expectations for 2021 (Part 2)" for an exclusive Charles Schwab web series on March 17, 2021. … Read More
Media Mentions
Jacko Law Group, PC Adds Senior Attorney R. Shea Lee Esq.
San Diego-based securities and corporate M&A firm bolsters legal team with experienced mergers and acquisitions senior counsel on corporate transactions and litigation matters Jacko Law Group, PC (“JLG”), a San Diego-based law firm that provides securities and corporate counsel to … Read More
Jacko Law Group, PC, Adds Of Counsel Anya Griffith to Securities and Corporate M&A Law Firm
San Diego-based securities and corporate M&A firm brings in seasoned attorney, with a strength in the corporate securities arena, specifically within the intricacies and nuances of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Jacko … Read More
Jacko Law Group, PC Adds Tax Law Attorney Jeremiah Baba Pagano, ESQ., LL.M., as Associate
San Diego-based securities and corporate M&A firm bolsters legal team with tax law and solutions-led attorney who analyzes, evaluates, and ensures compliance in the review of all tax and financial documents Jacko Law Group, PC (“JLG”), a San Diego-based law firm … Read More