Author: Jacko Law Group, PC

Home » Blog » Jacko Law Group, PC - Page 9
Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Contract Review | Intellectual Property Law Services | Legal Risk Management Tips

Intellectual Property Considerations For New Businesses

April 29, 2021 by

As an entrepreneur and business owner, you work tirelessly developing your  business plan, networking, creating a stylized logo and brand and your hard work should be protected.  The most valuable business assets of your firm often include its Intellectual Property.… Read More

The Many Recent Signals that Foreshadow a More Aggressive SEC in Terms of Enforcement Action and Stiffer Penalties for Wrongdoers
Blog | Regulatory Examinations & Enforcement Counsel

The Many Recent Signals that Foreshadow a More Aggressive SEC  in Terms of Enforcement Action and Stiffer Penalties for Wrongdoers

April 19, 2021 by

The first few months of 2021 have marked a clear shift in how the U.S. Securities and Exchange Commission (SEC) could soon start holding corporations to a much higher standard of accountability for actions that harm investors. A central theme of the SEC’s emerging mindset, as stated in a March 9, 2021, speech by Commissioner Caroline Crenshaw is the belief that corporate culture comes from the top and there is a strong need to incentivize companies to foster a culture of compliance, not misconduct.

… Read More

FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities
Blog | FINRA Broker-Dealer Regulatory Counsel

FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities

March 12, 2021 by

Firms that have seen the recently released 2021 Report on the Financial Industry Regulatory Authority’s (FINRA’s) Examination and Risk Monitoring Program (the “Report”) should be formulating plans to fortify their compliance programs based on the noteworthy findings shared from recent FINRA exams. The Report provides firms with valuable insight into 18 regulatory topics categorized by Firm Operations, Communications and Sales, Market Integrity, and Financial Management.

… Read More

1 … 6 7 8 9 10 11 12 … 61