Due Diligence Counsel Archives

How Often Should You Meet with Your Corporate Counsel Attorney?

May 5, 2022 by Jeremiah Baba Pagano

Operating successfully requires effort from various areas of business such as accounting, information technology, investing and human resources. Companies also benefit from the insight of a professional familiar within their industry, including the laws, restrictions, and other regulations to keep … Read More

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

Three Steps to take for a Positive SEC Examination Experience

April 7, 2022 by Jacko Law Group, PC

Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More

Blog | Mergers & Acquisitions

Support and Counsel to Boards of Directors, Board Committees and Executives

September 30, 2021 by Jacko Law Group, PC

When considering a merger, acquisition, or divestiture, significant responsibility rests with a company’s managers and board of directors. Much is at stake for the firms, employees, and shareholders or members involved. Minimizing and mitigating company risk is essential toward achieving a successful transaction and affecting a seamless transition.… Read More

Blog | Mergers & Acquisitions

The Essentials of a Purchase and Sale Agreement

August 26, 2021 by Jacko Law Group, PC

You’ve reached the stage of the merger and acquisition process where you’ve completed the due diligence process and are ready to put pen to paper.

This is when every paragraph, sentence, and word should be reviewed by experienced professionals to successfully draft contracts for the sale of companies. In most cases, the purchaser and their legal advisors are already at work preparing the first version of the purchase agreement.… Read More

Blog | Mergers & Acquisitions

Starting Out: Mergers & Acquisitions – Term Sheets and Due Diligence

July 16, 2021 by Jacko Law Group, PC

Once you have made the decision to pursue an M&A transaction, the next phase of the process is designed to accelerate progress toward a deal or abandon it altogether.

Blog | Breakaway & Transition | Form U5 Expungement Counsel | Transition & Breakaway Services

Business Transitions: Why Specialized Legal Counsel Matters

June 11, 2021 by Jacko Law Group, PC

Much in the same way clients depend on your proven expertise to help meet their investment goals, advisors should seek and rely on the value that only specialized legal counsel can provide when mulling the business transitio n to a new firm or the start of a new business.

Blog | Due Diligence Counsel

SEC Examination Focus: Four Considerations for Vendor Relationships Within Your Business Continuity Plans (BCP)

March 25, 2020 by Jacko Law Group, PC

Dedicated to investor protection and still fully operational nationwide, the SEC’s Office of Compliance Inspections Examinations (“OCIE”) announced that examinations will continue via online and virtual correspondence, in their most recent updated announcement on March 23, 2020.

Legal Risk Management Tips

Building Your Compliance Coalition in 2020

March 13, 2020 by Jacko Law Group, PC

Jacko Law Group wrote the Legal Tip titled “Building Your Compliance Coalition in 2020,” in March 2020.… Read More

Annual Reviews & Risk Assessments | Blog | Due Diligence Counsel

Internal Control Failures Cost MetLife $10 million in SEC Settlement

February 19, 2020 by M. Jacko

MetLife, Inc. has agreed to pay a civil penalty of $10 million in order to settle charges from the Securities and Exchange Commission (“SEC”) that it violated the books and records and internal accounting controls provisions of the federal securities laws.

Blog | Cryptocurrency & Digital Asset Counsel | Due Diligence Counsel

Another Technology Company Settles SEC Charges Over ICO Violations

February 12, 2020 by Jacko Law Group, PC

Blockchain of Things (“BCOT”), a technology company, has agreed to settle charges with the Securities and Exchange Commission (“SEC”) for conducting an initial coin offering (ICO) without registering it as a securities offering or qualifying for any registration exemptions. The settlement requires BCOT to agree to a cease and desist order, pay a $250,000 civil fine, return funds to any investors who file a request, and register the tokens as securities.