Securities Compliance Sentinel

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"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. Join our securities attorneys in their exploration of this increasingly complex area."

Author: Joshua Horn is a partner and Amit Shah is an associate at Fox Rothschild in Philadelphia.

Related Categories: Securities Law | Associate | Partner

Recent Posts from Securities Compliance Sentinel

Elder Abuse Takes Another Twist and Turn
Posted: Jul 5, 2016, 5:36 am CDT
So What’s Your Firm’s Culture?
Posted: Jun 27, 2016, 6:03 am CDT
What to do about a stupid client
Posted: Jun 20, 2016, 6:15 am CDT
It Is All About The Disclosures
Posted: Jun 13, 2016, 6:27 am CDT
Why a Bad Broker Is Not Like Fine Wine
Posted: May 31, 2016, 6:06 am CDT
SEC Announces Third Largest Whistleblower Award
Posted: May 23, 2016, 10:15 am CDT