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Peter Isajiw
Insights 17 results
Article · Source: Corporate Compliance Insights
March 4, 2024
SEC Broadens Definition of ‘Dealer’
Client Alert
February 9, 2024
SEC Adopts Rules Requiring Certain Trading Entities, Including Certain Investment Advisers and Private Funds, to Register as Broker-Dealers
Client Alert
February 8, 2024
SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers
Client Alert
January 22, 2024
Recent Enforcement Trends Regarding the Use of Off-Channel Communications on Personal Devices
Article · Source: Tabb Forum
April 25, 2017
FinTech – The CFTC’s Silver Bullet? (Subscription Required)
Client Alert
January 17, 2017
2017 Financial Industry Regulatory Priorities
Article
January 9, 2017
Are Investment Managers Indemnified for Inter-Party Disputes?
Article
November 10, 2016
The SEC's New Suitability Theory: Takeaways From UBS
Newsletter
September 19, 2016
Washington Insight – Financial Services Edition
Article
July 15, 2016
Lessons On SEC's Customer, Whistleblower Protection Efforts
Client Alert
July 12, 2016
The SEC’s Customer Protection Rule Initiative and Whistleblower Protection Efforts – What Broker-Dealers Need to Know
Article · Source: Law.com
February 3, 2016
The New Normal: In Re Trulia Forecasts An Adversarial Future for Disclosure-Only Settlements And "Deal Tax" Litigation