With the east coast in the midst of Hurrican Sandy, I am sure we are all thinking about a nicer place right now. Apparently, the Seventh Annual National Institute on
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State Enforcement
Hooray for New Jersey!!! More RIAs mean more work for Regulators
By Fox Rothschild on
For those who believe that the Garden State’s greatest contribution to the securities industry is that Snooki of Jersey Shore fame does not practice in the field, think again.
In…
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Lawyer Full Employment Act – Insider Trading, Hedge Funds and the FCPA
By Fox Rothschild on
Recently, the Department of Justice and the Federal Bureau of Investigation indicated that they are working on enough insider trading cases regarding the hedge fund industry to take them five…
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Delaware Trust Guide– A Must Have for Those Working in Delaware
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Our partner, Miguel Pena, has put together a comprehensive guide on Delaware Trusts in an easily understood format. The guide is attached for your use. Contact Miguel with any questions.Continue Reading Delaware Trust Guide– A Must Have for Those Working in Delaware
MSRB Rules Changes Allow For Risk-Based Exams
By Fox Rothschild on
The SEC approved a number of rule changes promulgated by the MSRB to facilitate risk-based examinations for participants in the municipal securities industry. These municipal securities industry participants are, generally, FINRA…
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PSST!!! Want to Save Money on Your Legal Bills? Read on. . .
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Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it. I then…
Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .
Investment Advisors and Broker-Dealers Use of Social Media – Beware!!
By Fox Rothschild on
Although the use of social media has been embraced by many industries, it is of particular concern for investment advisors and broker-dealers.
In many situations, the use of these outlets…
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SIFMA Tells its Membership Be Careful with Expert Networks
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The Securities Industry and Financial Market Association (“SIFMA”) indicated to its membership that those who engage expert networks – entities referring paid industry professionals to third parties for fees &ndash…
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Josh Horn’s Ponzi Scheme Response Road Map
By Fox Rothschild on
My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk. It details methods for investigating and responding to ponzi schemes.
In this day…
Securities Podcast with Ernest Badway
By Fox Rothschild on
Thought you might be interested in a recent podcast I did concerning my securities law practice. http://web.me.com/cordpar/Client_Development_Tips/Law_Consulting_Coaching_Podcast/Entries/2011/10/28_Developing_a_Securities%2C_White_Collar_and_Complex_Litigation_Practice.htmlContinue Reading Securities Podcast with Ernest Badway