Oksana Wright and Charles DeMonaco discuss the management and corporate compliance measures for the companies to prioritize during the time of cost-cutting and uncertainty:
https://www.corporatecomplianceinsights.com/corporate-compliance-during-covid-19/
Continue Reading Fox Rothschild’s Securities Industry Group Members Oksana Wright and Charles DeMonaco Publish Article on Corporate Compliance Measures During the Covid-19 Crisis
Ransomware is an ever increasing problem. To learn more about it and to avoid its impact, check out this blog.
Continue Reading Ransomware; don’t be held hostage
The SEC recently announced fraud charges, and sought an emergency asset freeze against a pastor who was accused of exploiting church members, retirees, and laid-off autoworkers. Apparently, he mislead these
Continue Reading Pastor Fraud, Say It Isn’t So
Our colleague Ed Raleigh in our DC office has published an insightful article on Mail and Wire Fraud in the ABA’s Criminal Justice Magazine. We invite you to read
Continue Reading Ed Raleigh Publishes Mail and Wire Fraud Article
The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and,
Continue Reading The SEC Now Has A Lead Cybersecurity Senior Adviser: Now What?
The SEC recently charged four investment advisors who allegedly used free dinners to entice older clients to their firm. At these dinners, these individuals allegedly provided fraudulent marketing materials to
Continue Reading Why A Free Dinner Is Never Really Free
In a recent SEC enforcement action, a registered representative was suspended for 6 months and fined $75,000 for, among other things, forwarding confidential client information from his personal email to
Continue Reading Don’t Forget This Data Security Risk
As you may know, FINRA, last April, launched a senior helpline to address issues pertaining to senior investors. According to recent reports, FINRA received calls on many different issues such
Continue Reading Who still thinks FINRA is not interested in elder investor issues
The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were:
Continue Reading Who wants more reasons to focus on data security
In a recent blog post, I noted that the SEC is undertaking another cybersecurity exam priority. If that was not enough to get your attention about your own cybersecurity
Continue Reading So who thought that the SEC was not serious about cybersecurity