4 Advantages of Smart Wealth Management
Business owners, as they begin to strategize and plan their exit and transition from their business, need to consider how to manage their wealth after they will no longer have the steady income, they have become accustomed to. According to … Read More
Seven Questions to Answer for Proper Exit Planning
As a business owner there are seven key questions you must consider before you sell or transition your business. The overall goal of these questions is to uncover what is important to you in your long-term succession or exit plan. … Read More
Financial Planning 101: Four Essentials to Conquering Your Balance Sheet
As business owners start to strategize and plan their exit or transition from their business they should take into consideration and work with professionals to create a financial plan, considering the impact of the forthcoming sale of their business. One … Read More
Four Main Drivers of Financial Planning
As the majority of business owners start to strategize and plan their exit or transition from their business as part of their retirement planning, they should consider the 4 main drivers of retirement financial planning. These drivers are (1) age … Read More
People Over Profits: How M&A Can Affect the Employee Experience
M&A can have a significant impact on the employee experience, and it is essential for companies to take steps to mitigate the negative effects. By being transparent and involving employees in the process, companies can create a more positive and productive work environment for everyone involved.… Read More
Chief Compliance Officer Liability Issues
In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will explore the most recent cases involving CCO liability. Specifically, we will consider those issues which caught the SEC’s and FINRA’s attention and discuss recent SEC guidance on how to mitigate the CCO’s liability if management’s decisions do not align with the CCO’s guidance. We will also consider the National Society of Compliance Professional’s (“NSCP”) Framework for CCO liability.… Read More
Leveraging 2022 Risk Alerts to Plan for Business Growth in 2023
As we and the rest of the industry awaits the U.S. Securities and Exchange Commission’s (“SEC”) annual examination priorities in the first quarter of 2023, firms contemplate the transformations and evolution of their business strategies for 2023 –asking “What do we need to be thinking about?” and “What needs to change?”.
Throughout 2022 the SEC’s Division of Examinations (“EXAMS”) routinely provided guidance and insight to important areas through their issued Risk Alerts.… Read More
Considerations for Private Placement Investments
Today’s current economic marketplace is dynamic. Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification. Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More
Three Things to Plan for After You Exit Your Business
A key area of financial planning for business owners looking to strategize and plan for the sale or transition of their business is planning for their life’s milestones after the sale. Some of these milestones will involve (1) income and … Read More