Maintenance and Ongoing Legal Consultation
The regulatory requirements for broker-dealers, investment advisers and hedge funds is increasingly complex
and time consulting. Let Jacko Law Group (JLG) assist you with Maintenance and Legal Consultation for your firm:
- Response to Regulatory Inquiries and Annual Reviews;
- Creation, review and analysis of Contracts, Corporate Agreements & Client Documents;
- Authoring of client disclosure documents (Forms ADV, Offering Memorandums and performance
- All aspects of broker-dealer, investment advisory and investment management counsel;
- Cross-channel marketing of products and services;
- Soft dollar arrangements and best execution analysis;
- Trade allocation and aggregation;
- Surveillance and exception reports reviews;
- Wrap-Fee accounts and multi-disciplined portfolios;
- Review and Assessment of Sales Practices (marketing, use of solicitors, RFP responses) ;
- Compliance Technology Solutions;
- Assistance in completion of all on-going registration forms, submission of supporting documentation
and filing with the SEC and/ or appropriate state offices;
- Preparing and registering each person required to be an investment adviser representative based on
state securities registration requirements;
- Enhancement and testing of written policies and procedures;
- Development and maintenance of compliance training programs;
- Review of investment advisory agreements and client profiles;
- Creation and review of selling agreements, IA Codes of Ethics customized to the client firm's business;
- Testing of enhancement to anti-money laundering processes;
- Review of Best Execution and trade allocations;
- Analysis of Proxy voting procedures;
- Development of Regulation S-P policies (Privacy Notices) including processes to safeguard confidential
- Assessment of Business continuity and succession plans;
- IA advertising and marketing reviews; and
- Due Diligence of third party service providers
For more information about services, please Contact Us at (619) 298-2880.
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