Regulatory Examinations and Enforcement Counsel
Are the Anti-Money Laundering (AML) measures you've put in place doing what they were intended to? Will your Business Continuity Plan (BCP) function smoothly? Should your firm's investor privacy policies be updated?
Don't wait until you receive a deficiency finding from the SEC or FINRA to find out.
Jacko Law Group, PC provides compliance program testing to broker-dealers, investment advisers, and other securities and financial services industry clients throughout the United States.
In addition to conducting on-site mock regulatory examinations, compliance program testing and annual audits, JLG's team of experienced professionals also provides ongoing legal advice, support, and services that include responding to regulatory inquiries and SEC/FINRA deficiency findings.
- AML Programs: In addition to helping broker and investment adviser clients establish new programs — we conduct the required annual audit of AML programs for broker-dealers, review existing programs and recommend changes, respond to enforcement actions and offer on-site testing at both main and branch office locations.
- BCP Programs: Our services include the development of new BCP programs, including business continuity, disaster recovery, and succession planning; and disaster recovery plans; required annual audits of BCP's for investment advisers and broker-dealers; and recommendations based upon our findings.
- Regulation S-P Programs: We help clients develop, implement and maintain information security programs setting forth the virtual and real-world safeguards they need to ensure the security and confidentiality of customers' personal information and protect against unauthorized access to and use of such formation.
Get Comprehensive Guidance And Preventative Advice
For more information or to speak with a securities attorney — contact our San Diego law office directly at 619.298.2880 or contact us online.
Legal Risk Management Tips
- National Society of Compliance Professionals (NSCP) Currents , 01.2021
- Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 09.2016
- Editorial Advisors Corner: Risk Management Update April 2015 – Regulatory Pitfalls Regarding Fee Based AccountsWolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 07.2015
- Thomson Reuters Accelus, 01.12.2015
- Thomson Reuters Accelus , 09.23.2014
- Philadelphia, PA, 10.04.2009