Securities Compliance Sentinel Blog
The highly regulated securities and financial industry has a host of complex problems—and financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. Our seasoned securities attorneys have the knowledge and experience to address cutting edge industry issues. Join them in their exploration of this increasingly complex area.
Primer on Government and Internal Investigations
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Risk Avoidance Techniques for Financial Advisors
Webinar: Practical Risk Management for Financial Advisors and Supervisors
This practical webinar is designed for executives responsible for monitoring, measuring and controlling risks. Whether you must deal with or are a regulator, board member or senior management, this presentation highlights best practices.