Core Compliance & Legal Services, Inc._Compliance, legal and financial consulting

Business Legal Services

CCLS's CEO, Michelle L. Jacko, also serves as Managing Partner and CEO of Jacko Law Group, PC.
Specializing in securities law, Jacko Law Group, PC has the unique ability to handle the most complex legal
matters, while providing our clients with the close, personal service they deserve.

Jacko Law Group, PC offers comprehensive legal services to meet your business needs. Services include,
among others:

Formation of broker-dealers, investment advisers and hedge funds
Creation, review and analysis of investment advisory contracts, management agreements and
partnership agreements
Hedge fund and investment banking compliance
Investment policy statements
Financial planning agreements
Financial consultant transition evaluation
Mergers & Acquisitions
Solicitor’s agreements
Disclosure documents
Regulatory responses
Creation and maintenance of Forms ADV, including Schedule F (Disclosure Brochure)
Schedule H (Wrap-fee Brochure)
All aspects of broker dealer and investment advisory counsel (Investment Advisers Act of 1940)
Firm formation (LLC, S-Corp, etc.)
Analysis of non-compete and non-solicitation clauses
Mock regulatory examinations
Drafting of private placement memorandums

Ms. Jacko also offers customizable client packages and training for your firm or organization. For more
information about available legal services, please visit www.j ackolg .com.

Independent Consultant Work

For those firms who have entered into an offer of settlement or an acceptance, waiver and consent (AWC),
CCLS can assist by serving as your independent consultant. For pricing and services, call (619) 298 2880 or
(877) 222-4833 .

Expert Witness Work

With senior in-house experience in the industry, Michelle Jacko can provide superior insight into litigation
consulting, expert witness testimony, securities compliance, supervision, best execution and more. If you
would like to discuss her services in detail, please call us at (619) 298 2880 or (877) 222-4833 or email
michelle.jacko@jackolg.com.

About Michelle L. Jacko, Esq.

Michelle L. Jacko, Esq. is Managing Partner and CEO of Jacko Law Group, PC and is the Founder and CEO of
CCLS, a securities legal and compliance services firm for financial institutions. Prior to CCLS, Michelle was
Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial
Services, Corporation (Linsco/Private Ledger). Previously, she was Legal Counsel of Investments and Chief
Compliance Officer at First American Trust, FSB and held the position of Compliance Manager at Nicholas-
Applegate Capital Management. Before that Michelle was with PIM Financial Services, Inc., and Speiser,
Krause, Madole & Mendelsohn, Jackson.

Michelle has diverse experience in regulatory legal / compliance matters, including, among others:

All aspects of broker dealer and investment advisory counsel
Contracts
Performance advertising and cross-channel marketing
Soft dollar arrangements and best execution analysis
Trade allocation and asset Allocation
Mock SEC examination
Surveillance and exception reports
Brokerage surveillance
Wrap-Fee accounts and multi-disciplined portfolios
Client disclosures
Broker-dealer and Investment adviser Sales Practices
Institutional client RFPs
Independent contractor models
Codes of Ethics
Written Policies and Procedures
Management of 40+ professionals
Compliance technology solutions

Education

St. Mary’s University School of Law (Juris Doctor)
University of San Diego (BA, cum laude, International Relations)

Court Admissions

California
US District Court, Southern District of California

Core Compliance & Legal Services, Inc.
Solutions for Today's Business

Legal Services

For more information
about our legal
services, please contact
Ms. Jacko at:
m ichelle.jacko@jackolg.com