Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

Contact  |  View Bio  |  RSS

Latest Posts › Chief Compliance Officers

Share:

Compliance Overseers Under Financial Regulatory Fire

In the wake of the financial crisis, federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies, and recent reports indicate that...more

5/14/2014 - Chief Compliance Officers Compliance Enforcement Actions Financial Regulatory Reform Personal Liability

Financial Regulatory Enforcers Expanding Claims Against Individuals

In the wake of the financial crisis, federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies, and recent reports indicate that...more

5/1/2014 - Chief Compliance Officers Compliance Enforcement Enforcement Actions Officers Personal Liability

Ketchum Shares Bon Mots with BD Industry at SIFMA Meeting

At this week’s Annual SIFMA Law and Compliance meeting, FINRA CEO Rick Ketchum provided a number of candid and pointed comments in a wide-ranging and no-holds-barred interview conducted by long-time senior compliance official...more

4/8/2014 - ACLU Chief Compliance Officers Compliance FINRA SIFMA

SEC Intensifies Scrutiny of Fee-Based Accounts and Reverse Churning

The SEC is crunching a lot of data these days, and it apparently intends to use some of that data to identify “reverse churning.” Reverse churning is the practice of placing a client who trades infrequently in a fee-based,...more

12/23/2013 - Broker-Dealer Brokers Chief Compliance Officers Churning Compliance FINRA SEC

Financial Fraud Law Report: October 2013 - Insider Trading in Mutual Funds: Do Traditional Theories Apply?

A federal court of appeals recently held out the possibility that insider trading prohibitions — at least under the classic theory — do not apply to mutual fund redemptions. The U.S. Court of Appeals for the Seventh...more

10/25/2013 - Chief Compliance Officers Compliance Fraud Insider Trading Mutual Funds Rule 10b-5 SEC Securities Exchange Act White Collar Crimes

When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws

The SEC has provided some much-needed clarity on the issue of when broker-dealer compliance or legal personnel may be considered to be supervisors. On September 30, 2013, the Division of Trading and Markets (the “Division”)...more

10/11/2013 - Broker-Dealer Chief Compliance Officers Compliance Corporate Counsel SEC Securities Exchange Act Supervisors

Insider Trading in Mutual Funds: Do Traditional Theories Apply?

A federal court of appeals held out the possibility that insider trading prohibitions – at least under the classic theory – do not apply to mutual fund redemptions. The U.S. Court of Appeals for the Seventh Circuit...more

8/9/2013 - Chief Compliance Officers Insider Trading Mutual Funds Right of Redemption SEC Securities Exchange Act Summary Judgment

7 Results
|
View per page
Page: of 1