Disclosure

Home » Blog » Disclosure
Blog | Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Contract Review | Labor & Employment Law Services | Outsourced-General Corporate Counsel

Essential Checklist for Employee Contracts and Onboarding

May 19, 2022 by

Establishing the talent to manage the steady increase of clients and employee turnover from COVID-related changes has created a trending issue for any industry. But the demand of the job market often underscores the value of a comprehensive employee contract … Read More

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

Additional Document Production: Key Elements to the Secondary Request

March 24, 2022 by

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

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

Do’s and Don’ts of Document Production For the SEC

March 17, 2022 by

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

A Financial Advisory Firm’s Simple, but Costly Lesson in the Need for Adequate Fee Disclosure
Blog | Form ADV & Disclosure Documents

A Financial Advisory Firm’s Simple, but Costly Lesson in the Need for Adequate Fee Disclosure

May 21, 2021 by

When it comes to disclosure, it’s important to have more than one set of eyes review everything from marketing materials to Forms ADV to make certain all required language is included and nothing is overlooked. A recent regulatory filing underscores how a lack of disclosure and not having sufficient written policies and procedures in place to prevent such lapses can create unnecessary conflicts of interest, regardless of adviser intent.

… Read More

Five Investor Protections to Remember When Finalizing FINRA Pre-dispute Arbitration Agreements
Blog | FINRA Broker-Dealer Regulatory Counsel

Five Investor Protections to Remember When Finalizing FINRA Pre-dispute Arbitration Agreements

May 18, 2021 by

Investment advisers should promptly review language used in mandated pre-dispute arbitration agreements in response to Regulatory Notice 21-16 recently issued by the Financial Industry Regulatory Authority (FINRA). The Notice serves as a cautionary yellow light for firms that may be inclined to limit investor protections by improperly including adviser-friendly terms that ignore specific FINRA disclosure requirements.

… Read More

1 2 3 4 … 9