The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks

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

As proxy season approaches for a number of public companies, the Securities and Exchange Commission (SEC) and certain state authorities have taken steps to revise their current corporation laws or
Continue Reading SEC and States Provide Relief for Upcoming Proxy Season Due to COVID-19

Let’s be honest, the only people usually concerned about business continuity plans (“BCP”) are compliance folks and the lawyers.  In fact, many probably have not looked at their BCP since
Continue Reading Coronavirus Reaches Pandemic Status: You Better Pull Out the Old Business Continuity Plan