We are excited to announce that the San Diego Business Journal has recognized Managing Partner Michelle Jacko as a Women of Influence in Law for 2022! Congratulations Michelle! Click here to learn more and see the full list of honorees.
This month’s Risk Management Tip will focus on the new requirements for Promotors including its applicability to investment advisers and advisers to private funds. … Read More
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
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
In this month’s JLG Risk Management Tip, we review issues relating to Form U5 disclosures and take a look at a hypothetical case study. … Read More
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
In this month’s JLG Risk Management Tip, we will review the U.S. Securities and Exchange Commission’s (“SEC”) recent guidance on the Duty of Care and Duty of Loyalty. … 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
Michelle L. Jacko will present on Charles Schwab Virtual Educational Event – SEC Hot Topics on March 31, 2022.… Read More