Registered Investment Advisers
through the entire process, including application, registration and on-going legal and support thereafter. Services that JLG offers include:
• Assistance in completion of all registration forms, submission of supporting documentation and filing with the SEC and appropriate state offices • Preparing and registering each person required to be an investment adviser representative based on state securities registration requirements • Developing customized written policies and procedures • Creation and Maintenance of Form ADV Part II (Client Brochure) • Producing compliance programs • Creation of investment advisory financial planing and management agreements • Developing IA Codes of Ethics customized to the client firm's business • Creation of Anti-money laundering processes • Evaluation of Best Execution and trade allocations • Establish in Proxy voting processes • Regulation S-P policies (Privacy Policy) Notices • Business continuity and succession plans • IA advertising and marketing reviews • Compliance Program Testing • Mock SEC Examinations • Risk Assessments and internal audits • Due Diligence of third party service providers • Annual Compliance Program Reviews and Reports Broker- Dealers JLG has extensive experience in the Formation, Registration and Compliance of Broker-Dealer firms and their supervisory responsibilities over registered representatives. Services that we offer include: • Corporate formation (LLCs, S-Corps, etc) • Assistance in completion of all registration documents, including Form BD, Business plan and submission of supporting documents • Creating Written Supervisory Procedures (WSPs) and necessary brokerage forms and agreements • Transition process: moving from one broker-dealer to another • Assistance with NASD Rules 3010, 3012 and 3013 requirements (CEO Certification) • Anti-money laundering programs • Regulation S-P (Privacy Policies) • Customer complaint responses • Compliance with books and records requirements • Continuing education • Licensing and registration of registered persons and entities • Broker-dealer advertising and sales literature reviews • Business continuity and disaster recovery plans • Broker-dealer sales transactions and practices • Surveillance solutions and creation of exception reports • Guidance to regulatory and compliance issues, concerns and interpretations Hedge Funds
details during the formation processes. Our services include:
• Authoring of Operating Agreement between the General Partner and Fund • Creation of subscription documents • Preparation of offering memorandum • Notice filings to the SEC and States (as required) • On-going legal support services |
| © 2007 Jacko Law Group, PC. All rights reserved. |
Jacko Law Group, PC
Securities & Corporate Counsel
Securities & Corporate Counsel
| Jacko Law Group, PC.- Professional qualitative legal services for securities and corporate clients. |
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