News & Commentary on Financial Regulatory and Compliance Matters
On June 5, 2019, the Securities and Exchange Commission (SEC) voted 3-1 to adopt a series of proposals intended to “substantially enhance” the standards of conduct for financial professionals.
First…
Continue Reading SEC Approves Final Regulation Best Interest, Form CRS
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its third National Exam Program Risk Alert of the 2017 calendar year, detailing OCIE’s findings and…
Continue Reading August 2017 Cybersecurity & Risk Alert from SEC
Arthur Don, co-chair of the Investment Regulation Group, will participate in the ACA Spring 2017 Compliance Conference, Thursday, May 4, in Florida.
Arthur will speak on the panel,…
Continue Reading Arthur Don to Speak at ACA’s Spring 2017 Compliance Conference in Florida
On Thursday, August 27, Greenberg Traurig’s Pete Michaels, shareholder in the Greenberg Traurig’s Financial Regulatory and Compliance and Securities Litigation Groups, presented “Legal Quick Hit: But I Thought it…
Continue Reading Pete Michaels Presents on United States Regulatory Traps for the Unwary Financial Services Firm
Brett Kitt, Financial Regulatory Of Counsel, participated as a speaker in the Online Lenders Alliance Spring Summit held in Washington, D.C. from April 28 – 29.
Brett moderated a…
Continue Reading Brett Kitt Spoke at the Online Lenders Alliance Spring Summit in Washington, D.C.
