The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
Although not comprehensive, the team at Jacko Law Group, PC (“JLG”) believe the following list provides a great starting point for firms on what to do and what not to do during document production for review by the U.S. Securities and Exchange Commission’s (SEC’s) Division of Examinations.… Read More
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
San Diego-based securities and corporate M&A firm brings in seasoned attorney, with a strength in the corporate securities arena, specifically within the intricacies and nuances of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Jacko … Read More
San Diego-based securities and corporate M&A firm bolsters legal team with tax law and solutions-led attorney who analyzes, evaluates, and ensures compliance in the review of all tax and financial documents Jacko Law Group, PC (“JLG”), a San Diego-based law firm … Read More
Mergers and Acquisitions are often exciting and pivotal events in a company’s history, no matter which side of the equation your company is on.
But Mergers and Acquisitions can also be complicated, time consuming, and expensive. Whether it is a share exchange, asset purchase, share purchase, or merger, it is important to ensure that business transactions are done correctly, while minimizing risk.
The steps one must take to become a successful entrepreneur can be both exhausting and exhilarating. Do I have a solid business plan? What should I name my company? What about office space? A company logo?
The LawTV/Video Bolt Video 12: Proactive Risk Mitigation… Read More
The LawTV/Video Bolt Video 11: Protecting Your Firm Through Risk Management… Read More