Jackson Ross PLLC

Compliance

Jackson Ross attorneys are skilled at helping companies navigate a fast-changing and uncertain regulatory environment. Our attorneys have handled compliance matters at government agencies such as the Office of Financial Stability of the U.S. Treasury Department and for prominent financial institutions such as Rothschild. We provide strategic and regulatory advice and are particularly adept at matters relating to the Dodd-Frank Wall Street Reform and Consumer Protection Act.

We routinely help clients develop and maintain regulatory compliance manuals, employee manuals, and other policies and procedures to assist management and employees contribute to the overall compliant status our clients seek.

Our team regularly advises corporate management, boards of directors and board committees on a wide variety of corporate governance matters, including conflicts of interest issues, board structure, fiduciary duties and other board oversight responsibilities, and compliance issues arising under Sarbanes-Oxley and the Dodd-Frank legislation. We also assist a number of private equity funds with compliance issues. We are knowledgeable as to SEC, FINRA and CFTC laws and regulations applicable to investment funds and advisers, such as “know your customer” and anti-money laundering requirements, and can help new and existing funds and advisers establish an effective compliance program.

Jackson Ross attorneys have designed and implemented comprehensive compliance programs, employee manuals, company-wide internal controls and other policies and procedures, often working closely with in-house teams. We have also led compliance training for company employees, as well as their business partners and service providers, as necessary. We also conduct investigations on behalf of management, boards of directors, and special board or management committees.

Beyond internal compliance, our attorneys have expertise in executing compliance standards when dealing with external stakeholders, namely investors and customers. Through our experience with financial institutions, broker-dealer regulations, and securities law, our experienced attorneys have assisted numerous clients in the financing, capital structure and restructure issues companies frequently face.

Focus Areas:

  • Broker-Dealer Regulations
  • Code of Ethics
  • Compliance Manual
  • Compliance with U.S. and non-U.S. Laws and Regulations
  • Conflicts of Interest
  • Corporate Governance and Board Advice
  • Employee Manual
  • Financial Institutions
  • Know Your Customer
  • Policies & Procedures
  • Privacy and Data Security
  • Securities Laws and Regulations

Representative Matters:

  • Analyzed numerous business plans for compliance with securities and other laws
  • Prepared KYC/AML compliance manual for angel investor platform
  • Prepared and reviewed Code of Ethics, WISPs, and other required and recommended documents for numerous investment advisers and FinTech companies
  • Prepared terms of use and privacy policy for numerous organizations, from startups to well-known mature companies
  • Conducted extensive gap analysis of a non-U.S. third-party service provider to financial institutions seeking to enter the United States market
  • Conducted internal investigation into potential U.S. securities law liability of a principal of a European subsidiary of a public U.S. company