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
When faced with a customer complaint, the key is what you do next. In the last of our podcast series, Ernie Badway and I discussed what firms should do
Continue Reading A customer complaint, now what?
In a recent blog by Chris Pogue (a digital forensic expert), he highlighted a handful of considerations for firms both pre and post data breach. After all, the issue is
Continue Reading Who wants to know some pre and post data breach considerations
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
A firm faced with a regulatory investigation should hire outside counsel to bring objective analysis to the situation. Although it may seem simple, the question that must first be addressed
Continue Reading So Who Is My Lawyer Anyway?
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?
The SEC has been much more aggressive in policing a company’s internal investigations.
There has been a direct causal relationship to the SEC’s increased use of whistleblowers and its focus
Continue Reading Your Internal Investigation May Not Be Safe Anymore
The SEC, recently, sued a private equity fund adviser for, among other things, allegedly violating Investment Advisers Act of 1940 Rule 206(4)-7, for failing to have procedures requiring verification of
Continue Reading You Need a “Shadow” If You Want to be a RIA Today
Never, under any circumstances, should you have your client sign an account opening document in blank, for you to complete at some later time. To most of you, this is
Continue Reading Do You Want To Know A Secret About Account Opening Documents.
In 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.