Jacko Law Group provides thorough regulatory guidance for Investment Advisers on a variety of issues, offering expert advice on matters related to both the SEC and state regulations.
Preparing for and responding to regulatory exams by the SEC, FINRA or the state can be overwhelming. Jacko Law Group, PC (“JLG”) has established a Quick Response Team (QRT) that has extensive experience in handling regulatory examinations and can assist you with:
Response to inquiries from the SEC, FINRA, or other regulatory bodies must be prompt, carefully considered. Responses must be accurate and address each issue or deficiency, particularly if allegations of securities law violations exist. At JLG, we understand our clients and know their businesses. This enables us to provide prompt, effective responses in regulatory exams and during regulatory inquiries at both the state and federal level. Having extensive experience in responding to SEC, FINRA and states, JLG is prepared to respond to any number of issues or claims, including:
It is our hope that a regulatory exam or inquiry will not lead to enforcement. However, if this happens, it is essential to have counsel experienced in SEC, FINRA and state regulatory matters by your side. Our lawyers are ready to provide you with guidance on how to proceed, whether by negotiating a settlement, or going forth with an administrative proceeding.
JLG provides time-sensitive, effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers, and other financial and securities industry clients doing business in the United States.
