Regulatory Examinations & Enforcement Counsel

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    Regulatory Exam Preparations

    When regulatory agencies such as the SEC, FINRA or the states come knocking, will your firm be ready to respond to their interview questions and lengthy document requests or demonstrate the firm’s culture of compliance through your risk assessment process?

    Your firm’s demonstration of compliance with regulatory requirements is at the forefront of every regulatory examination. Investing the time and resources needed to answer these questions will help with the long-term preparation required for regulatory examinations. Jacko Law Group, PC (“JLG”) provides customized personal attention to prepare all of our clients for their regulatory examinations.

    Mock Exams

    At JLG, we help broker-dealers, investment advisers, hedge funds, investment companies, and private equity firms assess their readiness for regulatory examination. We conduct mock exams on a periodic basis. To begin the process, we will provide you with the latest regulatory exam initial document request list, perform in-person interviews, and assess internal systems and controls. At the conclusion of the regulatory mock examination process, we will provide our findings to your senior management team, which includes a list of recommended actions to advance compliance program efforts.

    In addition, we represent clients during formal regulatory inquiries and enforcement matters.

    Regulatory Enforcement Counsel

    Is your AML program functioning as intended? Can your Business Continuity Plan (BCP) support your operations in the face of disruption? Are your investor privacy policies aligned with current regulatory expectations?

    Don’t wait for a deficiency notice from the SEC or FINRA to uncover compliance gaps.

    At JLG, we provide proactive regulatory examination support and compliance counsel to investment advisers,  broker-dealers, and financial services firms across the U.S. Whether preparing for an SEC or FINRA exam or responding to formal inquiries, our experienced team helps mitigate risk and strengthen your firm’s regulatory posture.

    As part of our AML compliance services, we conduct mock exams, annual audits, and in-depth compliance program reviews—all tailored to your business needs.

    Our Services include:

    Anti-Money Laundering (AML) Program Support

    • Development and enhancement of AML policies and procedures
    • Independent annual AML audits for broker-dealers
    • On-site AML testing at main and branch office locations
    • Compliance gap analysis and remediation strategies
    • Response planning for regulatory inquiries and enforcement actions

    Business Continuity Planning (BCP)

    • Creation of customized BCPs addressing business operations, disaster recovery, and succession planning
    • Required annual BCP audits for investment advisers and broker-dealers
    • Practical recommendations to ensure your plan meets both regulatory standards and real-world demands

    Regulation S-P & Data Privacy Compliance

    • Implementation of information security programs to safeguard client data
    • Assessment and revision of privacy policies to align with evolving regulations
    • Ongoing support for maintaining the confidentiality and integrity of customer information
    • Jacko Law Group is here to assist you with Examination Preparation and Enforcement Counsel services.
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