June 1, 2023 | RIA Best Practices for Complying with the Proposed New Cyber Rule (NCR) | Speakers: Michelle L. Jacko, Esq. – Managing Partner of Jacko Law Group, Jason Ewasko – CDO of Core Compliance and Christian Kelly – … Read More
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, Esq. With the SEC’s new advertising rule in effect, is your firm prepared for the possibility of an examination? Ensure your firm is ready by attending … Read More
Leveraging Your Outsourced Corporate Counsel There never is a “wrong” time to hire outsourced corporate counsel, as every firm’s needs, strategy, and growth model is different. Businesses, firms, and leaders can leverage outsourced corporate counsel to handle general counsel matters, … Read More
What to Know About In-House Experience and Corporate Law Not long ago, companies were outsourcing limited business functions, such as public relations, internal audits, and human resources. But times have changed, and a renewed pressure on profit margins in a … 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
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
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
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
