Due Diligence Counsel Services
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 (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 advised many investment advisers, private equity/hedge funds, broker-dealers and professional financial advisers on compliance with federal securities regulations.
Our Due Diligence Services
In order 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
- Management team background experience
- Any history of regulatory investigations
- Reputation of a third-party service provider
- Review of investor documents
- And more
Contact A Securities Attorney In California
At Jacko Law Group 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.
For more information about due diligence, call our attorneys directly at 619.298.2880 or contact us online. We represent clients in California and throughout the United States.
Legal Risk Management Tips
- Wolters Kluwer : Modern Compliance Volume II, 06.2017
- Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 09.2016
- Charles Schwab Compliance Review , 07.2016
- Thomson Reuters Accelus , 03.30.2015
- Charles Schwab Compliance Review , 05.2013
- Thomson Reuters Accelus , 10.03.2012
- Charles Schwab Compliance Review , 09.2012
- Thomson Reuters Accelus , 11.2011
- Chicago, IL, 04.23.2014
- San Francisco, CA, 03.13.2014
- Los Angeles, CA, 10.03.2013
- Los Angeles, CA, 06.03.2013