Internal Investigations

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:
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

Now that 2014 is here, it is a good idea to understand what the Enforcement Division might focus on this year.  In a recent article that appeared in the BNA,
Continue Reading What To Expect In 2014 From The SEC’s Enforcement Division


In two recent posts, I highlighted the problems with incomplete account opening documents and those signed in blank.  Now that you know the problem, the important question to ask

Continue Reading What Is The Secret For Supervisors When Dealing With Account Opening Documents?

idea.jpgIn our hyper-fast world, financial advisors, like many in the service sector, have become lazy.  Let me be clear, I think financial advisors are working harder than ever to service

Continue Reading Who Wants To Learn A Way To Insulate Themselves From Liability.