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Attorney-Client Privilege Financial Industry Regulatory Authority (FINRA)

Epstein Becker & Green

Five Developing Trends Financial Services Employers Need to Know - Take 5 Newsletter

Epstein Becker & Green on

As certain long-standing issues of interest to financial services employers seem to be receiving a degree of reactive attention, other cutting-edge issues continue to force such employers to revisit and update policies to...more

UB Greensfelder LLP

Contrary To What FINRA Believes, Rule 8210 Is Not A Search Warrant

UB Greensfelder LLP on

I have been waiting for a while to write about this issue, since it arose in an Enforcement case I handled for a client, and I wanted the matter to run its full course at FINRA before I started throwing stones. Sadly, there...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update – February 2017

REGULATION - DOL Issues Additional Guidance on Fiduciary Rule - On January 13, 2017, the U.S. Department of Labor (“DOL”) issued a second set of guidance on its new fiduciary rules, which are scheduled to become...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

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