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

Hey, what ever happened to the telephone
Posted: Apr 28, 2016, 8:19 am CDT
Why A Free Dinner Is Never Really Free
Posted: Apr 11, 2016, 6:04 am CDT
It’s All In The Documentation
Posted: Mar 21, 2016, 6:20 am CDT
Don’t Forget This Data Security Risk
Posted: Mar 2, 2016, 11:37 am CST
Firm Culture; What Is It And Why Does FINRA Care
Posted: Feb 29, 2016, 6:09 am CST