When to Use a Real Estate Attorney
Whether your business is located on the east or west coast, one common question arises when considering a future real estate venture – when should you consult with a real estate attorney?… Read More
The Importance of Having a Successful Succession Plan
Investment advisors are familiar with the need to have difficult conversations with clients. Any number of anticipated or unforeseen situations, such as the loss of a job or a serious family illness, can prompt the need to revisit a client’s investment plan and tailor their asset allocation plan to deal with significant life changes.
Business Transitions: Why Specialized Legal Counsel Matters
Much in the same way clients depend on your proven expertise to help meet their investment goals, advisors should seek and rely on the value that only specialized legal counsel can provide when mulling the business transition to a new firm or the start of a new business.
Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Video Library
Protecting Your Firm Through Risk Management
The LawTV/Video Bolt Video 11: Protecting Your Firm Through Risk Management… Read More
Protecting Your Firm Through Risk Management
You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.
Remarkable Growth in ESG Investing Prompts New SEC Task Force Focused on Red-Flagging Examples of Corporate Greenwashing
Jacko Law Group wrote the article “Remarkable Growth in ESG Investing Prompts New SEC Task Force Focused on Red-Flagging Examples of Corporate Greenwashing,” in May 2021.… Read More
A Financial Advisory Firm’s Simple, but Costly Lesson in the Need for Adequate Fee Disclosure
When it comes to disclosure, it’s important to have more than one set of eyes review everything from marketing materials to Forms ADV to make certain all required language is included and nothing is overlooked. A recent regulatory filing underscores how a lack of disclosure and not having sufficient written policies and procedures in place to prevent such lapses can create unnecessary conflicts of interest, regardless of adviser intent.
Compliance Steps Fiduciaries Should Take Now to Help Ensure Continued Adherence with the DOL’s New ERISA Exemption
Professionals who work with “Plans”, as defined under the Employment Retirement Income Security Act of 1974 (ERISA), and for those that recommend certain investments to individual retirement accounts (“IRA”), such individuals must be mindful to update their firm’s policies and procedures now that the U.S. Department of Labor (DOL) is proceeding with the adoption of a fiduciary exemption that can impose restrictions upon and prevent fiduciaries from engaging in certain activities.
The Advantages of Outsourcing Your General Corporate Counsel
The LawTV/Video Bolt Video 10: The Advantages of Outsourcing Your General Corporate Counsel… Read More
The Advantages of Outsourcing Your General Corporate Counsel
With greater scrutiny coming from the SEC, FINRA and state regulators, firms across the financial industry have turned to outsourced general counsel to assist with both regulatory compliance matters and traditional corporate counsel needs.