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Alec Koch
Insights 25 results
Client Alert
November 26, 2024
SEC Enforcement Fiscal Year 2024 Results – A Look Behind the Numbers
Article · Source: The Banking Law Journal
November 1, 2024
Financial Services Regulation in the Post-Jarkesy World
Client Alert
July 3, 2024
Financial Services Regulation in the Post-Jarkesy World
Client Alert
May 23, 2024
Request for Comments on FinCEN and SEC rule on CIP
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
Feature
January 24, 2024
General Counsel’s Decision Tree for Internal Investigations for the Energy Industry
Feature
December 13, 2023
General Counsel’s Decision Tree for Internal Investigations for the Financial Services Industry
Feature
December 12, 2023
General Counsel’s Decision Tree for Internal Investigations for the Life Sciences Industry
Feature
December 8, 2023
General Counsel’s Decision Tree for Internal Investigations for the Automotive Industry
Feature
December 8, 2023
General Counsel’s Decision Tree for Internal Investigations for the Food and Beverage Industry