Practical Considerations For Preventing Insider Trading
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Practical Considerations For Preventing Insider Trading in August, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Practical Considerations For Preventing Insider Trading in August, 2012.… Read More
Jacko Law Group P.C. (“JLG”) wrote the article titled Practical Compliance tips for Best execution Analysis which was published in the National Society of Compliance Professionals (NSCP) Currents’ July/August 2012 publication. … Read More
Earlier this month Reuters issued a special report detailing confidential documents from investigations by two U.S. Attorney offices into violations by HSBC of the Bank Secrecy Act and other anti-money laundering laws. In April 2003 the Federal Reserve Bank of…
Many opine the financial crisis was hastened by the financial industry’s use of byzantine and risky securities. FINRA recently released more specific guidance concerning supervision by broker dealers over the sale of complex products: Regulatory Notice 12-03, Complex Products: Heightened…
On October 12, 2011, the SEC, together with the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC), issued proposed regulations implementing Section 619 of the Dodd-Frank Act, popularly referred to…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Effect Of Noncompetition And Non-solicitation Agreements In California in September, 2011.… Read More
Beginning December 1st of this year hedge fund managers, private equity firms and investment advisers doing business in Massachusetts will need to have policies and procedures in place to address that state’s new regulations aimed at overseeing the use of…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Ongoing Sec Focus: Regulation S-P And Consumer Privacy in April, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Approves New, Expanded Rules On Know Your Customer And Suitability in January, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Proposes “Say-on-pay” Regulation And Its Impact To Institutional Investment Managers in October, 2010.… Read More