Rule 505

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

Continue Reading SIFMA Tells its Membership Be Careful with Expert Networks

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

Continue Reading Josh Horn’s Ponzi Scheme Response Road Map