Law Brief®: Mark Rosenberg and Richard Schoenstein Discuss Online Distribution Leakage
III-43-Expert Roundtable Discussion on the Impact of Recent Regulatory Initiatives on Recruitment, Retention and the Retail Industry
Managing your vendor network and supply chain used to be easier. You knew who all your suppliers were, you could visit their sites, and you knew them as individuals you’d worked with for many years....more
On January 22, 2019, FINRA released its 2019 Annual Risk Monitoring and Examination Priorities Letter (the “Priorities Letter”). Late last year, as part of FINRA360 – the organization’s ongoing improvement initiative – FINRA...more
On January 22, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its annual priorities letter highlighting its regulatory program’s points of emphasis for the coming year. The most immediately...more
The use of online platforms for distribution of financial products has become increasingly popular in Hong Kong. In May 2017, the Hong Kong Securities and Futures Commission (SFC) issued a Consultation Paper inviting comments...more