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Jacko Law Group

Compliance Manual

Home » Blog » Compliance Manual
Blog | Investment Adviser Regulatory Counsel (SEC & State)

What the SEC Really Wants to Find in Your Firm’s Compliance Manual

December 14, 2020 by M. Jacko

It’s that time of year again for many investment advisory firms when Compliance departments often spend the end of the calendar year reviewing their policies and procedures to meet the annual requirements set forth in Rule 206(4)-7, better known as the “Compliance Rule” under the Investment Advisers Act of 1940. 

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Blog | Regulatory Compliance

Foreign Risk: How to Avoid Anti-Money Laundering Problems with the New Russian Financial Sanctions

May 21, 2014 by Jacko Law Group, PC

The past two months have seen much in the way of political and civil strife in the Ukraine, as Russian forces moved into the Crimea and Eastern regions. After a series of economic sanctions against Russia were instituted by the…

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Broker-Dealers | FINRA Broker-Dealer Regulatory Counsel | Legal Risk Management Tips

The SEC Approves New, Expanded Rules On Know Your Customer And Suitability

January 31, 2011 by Jacko Law Group, PC

Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Approves New, Expanded Rules On Know Your Customer And Suitability in January, 2011.… Read More

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  • Why JLG
    • Our Team
    • The JLG Experience
      • What You Can Expect
      • What Clients Are Saying
    • Community Involvement
    • Career Opportunities
    • Media Mentions
  • Who We Serve
    • Investment Advisor
    • Investment Companies
    • Broker-Dealers
    • Private Fund Advisory
    • Financial Professionals
  • Practice Areas
    • Regulatory Counsel & Compliance Services
      • Regulatory Examinations & Enforcement Counsel
      • Investment Adviser Regulatory Counsel (SEC & State)
      • FINRA Broker-Dealer Regulatory Counsel
      • Private Fund Counsel
      • Annual Reviews & Risk Assessments
      • Form ADV & Disclosure Documents
      • Regulatory SEC Filings
      • Formations & Registrations
      • IA Marketing Rule Counsel
      • Form U5 Expungement Counsel
      • Due Diligence Counsel
      • Expert Witness
    • Strategic Business Planning
      • Mergers & Acquisitions
      • Transition & Breakaway Services
      • Corporate & Business Formation
      • Succession Planning & Counsel
    • General Counsel
      • Contract Review
      • Corporate Governance
      • Family Office Counsel
      • Employment Law & Labor Services
      • Intellectual Property Law Services
      • Cryptocurrency & Digital Asset Counsel
      • Outsourced General Corporate Counsel Services
  • Knowledge Center
    • Legal Risk Management Tips
    • Industry Publications
    • Blog
    • Video Library
    • Events
  • Contact Us