Why Intellectual Property is Important and What it Means for Your Business

Among the more frequently overlooked aspects of running a business is the importance of proactive steps to legally protect your products, services, and unique ideas. Advisors are justifiably preoccupied with clients and employees but safeguarding your firm’s intellectual property (IP) … Read More

Tips on How to Produce the Right Document for an Examination

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

Important Actions to Take When Responding to an SEC Deficiency Letter

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More

The Most Common Outcomes from an SEC Examination

Compliance officers and senior management tend to express relief once the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) ends its preliminary exit interview of their firm. Even if you’ve provided all requested documentation and answered all questions confidently, sometimes the most excruciating part of the exam process begins once SEC staff walks out your door.… Read More

Understanding Elements the SEC is Trying to Identify During an Examination

Undergoing a visit and/or an examination from the U.S. Securities and Exchange Commission (“SEC”) can be daunting, confusing, and draining. Firms throughout the industry are told that preparation is vital to successful SEC interactions, but how do you know what to prepare for? What steps do you need to take to minimizing the chances of your firm not receiving a deficiency letter with a long list of infractions. … Read More

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

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

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