business tax lawyer Archives

SEC Proposes Rules on the Use of Predictive Data Analytics

August 1, 2023 by Jacko Law Group, PC

On July 26, 2023, the US Securities and Exchange Commission (SEC) adopted the cybersecurity risk rules relating to the reporting of incidents, processes, and procedures, as well as governance, in an ongoing effort to promote transparency and trust in US investment markets.… Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

4 Advantages of Smart Wealth Management

May 4, 2023 by Jeremiah Baba Pagano

Business owners, as they begin to strategize and plan their exit and transition from their business, need to consider how to manage their wealth after they will no longer have the steady income, they have become accustomed to. According to … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Seven Questions to Answer for Proper Exit Planning

April 27, 2023 by Jeremiah Baba Pagano

As a business owner there are seven key questions you must consider before you sell or transition your business. The overall goal of these questions is to uncover what is important to you in your long-term succession or exit plan. … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Financial Planning 101: Four Essentials to Conquering Your Balance Sheet

April 20, 2023 by Jeremiah Baba Pagano

As business owners start to strategize and plan their exit or transition from their business they should take into consideration and work with professionals to create a financial plan, considering the impact of the forthcoming sale of their business. One … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Four Main Drivers of Financial Planning

April 6, 2023 by Jeremiah Baba Pagano

As the majority of business owners start to strategize and plan their exit or transition from their business as part of their retirement planning, they should consider the 4 main drivers of retirement financial planning. These drivers are (1) age … Read More

Blog | Breakaway & Transition

Three Things to Plan for After You Exit Your Business

December 9, 2022 by Jeremiah Baba Pagano

A key area of financial planning for business owners looking to strategize and plan for the sale or transition of their business is planning for their life’s milestones after the sale. Some of these milestones will involve (1) income and … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Tips on How to Produce the Right Document for an Examination

March 10, 2022 by Jacko Law Group, PC

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 to prepare for the SEC’s inevitable request for document production.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Common Themes We’re Seeing in 2021 SEC Examinations

February 18, 2022 by M. Jacko

From first-hand experience, we’ve learned the primary area of focus for U.S. Securities and Exchange (“SEC”) examiners this year is protecting the retail investor, with an emphasis on those saving for retirement, aging clients, and cybersecurity.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

Important Actions to Take When Responding to an SEC Deficiency Letter

February 10, 2022 by Jacko Law Group, PC

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

The Most Common Outcomes from an SEC Examination

February 3, 2022 by M. Jacko

Compliance officers and senior management tend to express relief once the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) ends its preliminary exit interview of their firm. Even if you’ve provided all requested documentation and answered all questions confidently, sometimes the most excruciating part of the exam process begins once SEC staff walks out your door.… Read More