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

Ed Raleigh Publishes Mail and Wire Fraud Article
Posted: Feb 15, 2017, 7:00 pm CST
SEC’s Exam Deficiencies
Posted: Feb 13, 2017, 8:00 am CST
Compliance Issues The SEC Is Seeing
Posted: Feb 13, 2017, 6:58 am CST
What’s the Deal with Data Breach insurance?
Posted: Jan 19, 2017, 6:12 am CST
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

Poll: Which of these captions for the cartoon contest really pops?

Two prisoners watch lawyer walk out of prison.

  • 41.29%
    "He’s not much of a lawyer, but for 40 years he hasn’t forgotten my birthday."
  • 9.01%
    "I asked for help keeping my head up, but I should have been more specific."
  • 49.7%
    "How did the meeting with your attorney go?" "He said these balloons had a better chance of getting me out than he did."