--- title: Legal Risk Management Tips description: Expert tips from the team at Jacko Law Group, PC --- [![jlg-logo.jpg](https://resources.jackolg.com/hs-fs/hubfs/jlg-logo.jpg?width=588&height=85&name=jlg-logo.jpg "jlg-logo.jpg")](http://www.jackolg.com/) Securities & Corporate Counsel San Diego • Los Angeles • San Francisco Call619-298-2880 415-766-3599 - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - [Events](http://www.jackolg.com/Events.shtml) - [News Room](http://www.jackolg.com/News-Room.shtml) - [Blog](https://resources.jackolg.com) - [Contact](http://www.jackolg.com/Contact.shtml) - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - [Events](http://www.jackolg.com/Events.shtml) - 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[Due Diligence](http://www.jackolg.com/Practice-Areas/Regulatory-Compliance-Legal-Services/Due-Diligence.shtml) - [Performance Advertising](http://www.jackolg.com/Practice-Areas/Regulatory-Compliance-Legal-Services/Performance-Advertising.shtml) - Securities Law Overview - [San Diego Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/San-Diego-Area-Securities-Law.shtml) - [Los Angeles Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/Los-Angeles-Area-Securities-Law.shtml) - [San Francisco Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/San-Francisco-Area-Securities-Law.shtml) # Legal Risk Management Tips ## [2017 SEC Enforcement Cases: A Year in Review - Dec. 2017](https://resources.jackolg.com/news/2017-sec-enforcement-cases-a-year-in-review-dec.-2017) ## [This Holiday Season, Review Your Services to Vulnerable Adults - Nov. 2017](https://resources.jackolg.com/news/this-holiday-season-review-your-services-to-vulnerable-adults) ## [What To Do If You Receive a FINRA 8210 Letter - Oct. 2017](https://resources.jackolg.com/news/what-to-do-if-you-receive-a-finra-8210-letter) ## [7 Essential Takeaways from the September SEC Risk Alert - Nov. 2017](https://resources.jackolg.com/news/7-essential-takeaways-from-the-september-sec-risk-alert) ## [Practical Steps for Assessing Risks - Aug. 2017](https://resources.jackolg.com/news/practical-steps-for-assessing-risks) ## [What You Need to Know About Expungement: Part ll - June 2017](https://resources.jackolg.com/news/what-you-need-to-know-about-expungement-part-ll) ## [Choosing the Best Corporate Entity Structure for Your Business - July 2017](https://resources.jackolg.com/news/choosing-the-best-corporate-entity-structure-for-your-business) ## [Private Equity Reporting on New Form ADV - May 2017](https://resources.jackolg.com/news/private-equity-reporting-on-new-form-adv) ## [What You Need to Know About Expungement - April 2017](https://resources.jackolg.com/news/what-you-need-to-know-about-expungement) ## [What RIAs Should Focus on in 2017: Regulatory Hot Topics - March 2017](https://resources.jackolg.com/news/what-rias-should-focus-on-in-2017-regulatory-hot-topics) ## [Fleischer v. Commissioner – What Does it Mean for Businesses? - Feb 2017](https://resources.jackolg.com/news/fleischer-v.-commissioner-what-does-it-mean-for-businesses) ## [2017 SEC Examination Focus Areas - Jan. 2017](https://resources.jackolg.com/news/2017-sec-examination-focus-areas) ## [2016 SEC Enforcement Cases: A Year in Review - Dec. 2016](https://resources.jackolg.com/news/2016-sec-enforcement-cases-a-year-in-review) ## [Broker-Dealers, It’s Time to Review your Written Supervisory Procedures - Nov. 2016](https://resources.jackolg.com/news/broker-dealers-its-time-to-review-your-written-supervisory-procedures) ## [Back to Basics – Private Equity Compliance - Beyond Fee and Expense Practices - Oct. 2016](https://resources.jackolg.com/news/back-to-basics-private-equity-compliance-beyond-fee-and-expense-practices) ## [Considerations When Forming A New Business - Sept. 2016](https://resources.jackolg.com/news/considerations-when-forming-a-new-business) ## [Legal Considerations for Your Cybersecurity Program - Aug. 2016](https://resources.jackolg.com/news/legal-considerations-for-your-cybersecurity-program) ## [Regulatory Requirements and Risks Associated with Conducting Due Diligence on Third-Party Service providers - July 2016](https://resources.jackolg.com/news/regulatory-requirements-and-risks-associated-with-conducting-due-diligence-on-third-party-service-providers) ## [CCO Liability: What You Need to Know – Jun. 2016](https://resources.jackolg.com/news/cco-liability-what-you-need-to-know) ## [Regulatory Considerations for Servicing Aging Clients - May 2016](https://resources.jackolg.com/news/regulatory-considerations-for-servicing-aging-clients) ## [Breaking Away: Vital Considerations for the Transitioning Advisor - April 2016](https://resources.jackolg.com/news/breaking-away-vital-considerations-for-the-transitioning-advisor) ## [Considerations When Purchasing an Investment Advisory Business - March 2016](https://resources.jackolg.com/news/considerations-when-purchasing-an-investment-advisory-business-march-2016) ## [SEC Examination Priorities in 2016: How They May Impact Your Compliance Program - Feb. 2016](https://resources.jackolg.com/news/sec-examination-priorities-in-2016-how-they-may-impact-your-compliance-program) ## [Private Equity – 2015 Enforcement Summary and What to Expect in 2016 - Jan. 2016](https://resources.jackolg.com/news/private-equity-2015-enforcement-summary-and-what-to-expect-in-2016) ## [2015 SEC Enforcement Cases: A Year in Review - Dec. 2015](https://resources.jackolg.com/news/2015-sec-enforcement-cases-a-year-in-review) ## [Part 2: Considerations for Forming and Operating a California LLC - Nov. 2015](https://resources.jackolg.com/news/considerations-for-forming-and-operating-a-california-llc-part-2) ## [Part 1: Considerations for Forming and Operating a California LLC - Oct. 2015](https://resources.jackolg.com/news/part-1-considerations-for-forming-and-operating-a-california-llc) ## [The Importance of Strategic Transition and Business Succession Planning](https://resources.jackolg.com/news/the-importance-of-strategic-transition-and-business-succession-planning) ## [Considerations for Advisors Within the Hybrid Model - Aug. 2015](https://resources.jackolg.com/news/considerations-for-advisors-within-the-hybrid-model) ## [The Importance of Outsourced General Counsel - Jun. 2015](https://resources.jackolg.com/news/the-importance-of-outsourced-general-counsel) ## [Amended Regulation A: A “New” Financing Option - July 2015](https://resources.jackolg.com/news/amended-regulation-a-a-new-financing-option) ## [How The Proposed Amendments to Form ADV and Advisers Act Will Impact Investment Advisers - May 2015](https://resources.jackolg.com/news/how-the-proposed-amendments-to-form-adv-and-advisers-act-will-impact-investment-advisers) ## [Anti-Money Laundering As Applied to Investment Advisers - April 2015](https://resources.jackolg.com/news/anti-money-laundering-as-applied-to-investment-advisers-april-2015) ## [Form U5: Reporting and Beyond - Mar. 2015](https://resources.jackolg.com/news/form-u5-reporting-and-beyond) ## [Series LLCs: Possibilities and Pitfalls](https://resources.jackolg.com/news/series-llcs-possibilities-and-pitfalls) ## [California 2015 Outlook: New Laws that May Affect your Business - Jan. 2015](https://resources.jackolg.com/news/california-2015-outlook-new-laws-that-may-affect-your-business) ## [Beware the Pitfalls Using Finders](https://resources.jackolg.com/news/beware-the-pitfalls-using-finders) ## [2014 SEC Enforcement Cases - A Year In Review](https://resources.jackolg.com/news/2014-sec-enforcement-cases-a-year-in-review) ## [Considerations for Marketing Private Equity Funds](https://resources.jackolg.com/news/considerations-for-marketing-private-equity-funds) ## [Considerations for Marketing Private Equity Funds - Oct. 2014](https://resources.jackolg.com/news/considerations-for-marketing-private-equity-funds-oct-2014) ## [The Distinctions Between Sub-Advisory and Third-Party Asset Manager Arrangements](https://resources.jackolg.com/news/the-distinctions-between-sub-advisory-and-third-party-asset-manager-arrangements-) ### Recent Posts ### Posts by Topic - [Investment Advisers (5)](https://resources.jackolg.com/news/tag/investment-advisers) - [Investors (3)](https://resources.jackolg.com/news/tag/investors-2) - 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