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

SEC Chair White Refuses To Delay New Rules
Posted: Dec 13, 2016, 8:23 am CST
What are you doing to prevent a data breach
Posted: Dec 12, 2016, 7:50 pm CST
More Departures Announced by Top SEC Officials
Posted: Dec 7, 2016, 9:35 am CST
Dodd What
Posted: Nov 9, 2016, 6:59 am CST
So Who Wants Senior Clients
Posted: Nov 1, 2016, 5:34 am CDT
When just saying “no” is a good thing
Posted: Oct 10, 2016, 4:28 pm CDT