It’s back! Billions kicked off Season 3, Episode 1 with the intellectual prowess that we’ve all come to expect. Hedge fund king Bobby “Axe” Axelrod continues to be on the defense for potential violations of federal securities laws. Axe and…
For private equity advisers, how to market a private equity fund in compliance with SEC rules should be a major focus area. Unlike hedge funds (which are usually evergreen), private equity funds have finite investment period and lifespans, and fund…
When you’re faced with the SEC or a FINRA hearing, whether in court, an arbitration, or a hearing due to regulatory action being taken against you or your firm, you’ll probably be considering bringing on an expert witness to…
The SEC’s pay-to-play rule is more relevant than ever before in today’s politically charged climate. As the management of government client assets is widespread in the realm of private equity, whether a private equity adviser is seeking its first…
It happens to every investment adviser, sooner or later. All the documentation you maintain, all the policies and procedures you put in place, it all goes under the microscope eventually. The SEC, FINRA, and the State all conduct regulatory…
With 2017 coming to a close, it’s time to start looking at what you’ll need to prepare in the first quarter for 2018. One of the major priorities for early in the year is Form ADV. If your fiscal…
This year, Core Compliance & Legal Services, Inc., in conjunction with IA Watch, is hosting a one day event featuring several Jacko Law Group, PC team members. It’s fast approaching, taking place November 2, 2017, in Los Angeles. If…
Preparing for regulatory examinations is a daunting prospect. If you haven’t set up the policies and procedures to ensure you can handle such an exam at the drop of a hat, it becomes more than just daunting: it turns into…
The Legal Tip for Jacko Law Group titled Choosing the Best Corporate Entity Structure for Your Business was written in July, 2017.… Read More
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (JOBS Act) into law. This law, which eased many U.S. securities regulations, was created to help encourage funding of small businesses….