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Financial Services Observer

News & Commentary on Financial Regulatory and Compliance Matters

william b. mack

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

By William Mack & Vincent Lewis on January 29, 2019

Posted in Corporate Governance, FINRA, GT Alert, Regulatory Compliance

On Jan. 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its 14th Annual Risk Monitoring and Examination Priorities Letter, where it identifies its areas of examination focus for…
Continue Reading FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

Greenberg Traurig’s Carl Fornaris and William Mack Participate at FMA’s Legal and Legislative Issues Conference

By Greenberg Traurig on October 19, 2017

Posted in CFTC, FINRA, Firm News, SEC

Shareholders Carl A. Fornaris and William B. Mack of global law firm Greenberg Traurig, LLP will be participating at the Financial Markets Association’s 2017 Treasury and Capital Markets Legal and…
Continue Reading Greenberg Traurig’s Carl Fornaris and William Mack Participate at FMA’s Legal and Legislative Issues Conference

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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Past Events

Nov. 2 EVENT | Selecting an EB-5 Investment Project

Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion…

Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar…

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About Greenberg Traurig

Greenberg Traurig, LLP has more than 3,100 lawyers across 51 locations in the United States, Europe, the Middle East, Latin America, and Asia. The firm’s broad geographic and practice range enables the delivery of innovative and strategic legal services across borders and industries. Recognized as a 2025 BTI “Best of the Best Recommended Law Firm” by general counsel for trust and relationship management, Greenberg Traurig is consistently ranked among the top firms on the Am Law Global 100, NLJ 500, and Law360 400. Greenberg Traurig is also known for its philanthropic giving, culture, innovation, and pro bono work. Web: www.gtlaw.com.

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