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M. Alexander Koch (Alec)
Insight 31 results
Client Alert
January 15, 2020
SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and Broker-Dealers
Client Alert
October 31, 2019
Regulation Best Interest: Updates and Developments
Client Alert
October 10, 2019
Messages for Public Companies from the SEC’s Spate of September Enforcement Actions
Client Alert
September 16, 2019
The Lasting Impact of Kokesh: Footnote 3 and Beyond
Client Alert
June 27, 2019
The SEC Approves Regulation Best Interest: The Broker-Dealer Standard of Conduct
Client Alert
April 4, 2019
Supreme Court Affirms Lorenzo v. SEC, Expanding the Scope of Primary Liability for Securities Fraud
Client Alert
October 23, 2018
The Catch with Kokesh: Insurers Refusing to Cover Disgorgement to SEC
Client Alert
October 17, 2018
Recent SEC Enforcement Actions Reinforce the Importance of Effective Supervision, Policies, and Procedures for Broker-Dealers and Investment Advisers
Newsletter
Newsletter
May 31, 2018
Financial Services Focus
Client Alert
March 1, 2018
SEC Reinforces and Elevates Cybersecurity Guidance; Board Oversight of Cybersecurity at the Forefront
Article · Source: Law360
February 14, 2018
The Impact Of Kokesh So Far, And What's Next: Part 2