Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more
3/31/2016
/ Best Interest Contract Exemptions ,
BSA/AML ,
CFTC ,
CMBS ,
Corporate Crimes ,
Cybersecurity ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton v Erica P. John Fund ,
Individual Accountability ,
Public Offerings ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Self-Reporting ,
SIFMA ,
Toys R Us
Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more