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Morrison & Foerster LLP
Ana-Maria Ignat
Ana-Maria Ignat
Morrison & Foerster LLP
A Blast From The Past: The SEC Fines Investment Adviser/Broker-Dealer For Breakpoint Violations
16 Apr 2014 | United States
FINRA Provides A Detailed Analysis Of A Broker-Dealer’s Failure To Adequately Supervise Alternative Investment Sales
01 Apr 2014 | United States
FINRA Announces A Sweep To Assess BDs’ Cybersecurity
16 Feb 2014 | United States
FINRA Focuses AML Enforcement On A BD Doing Business In Mexico
12 Feb 2014 | Mexico
Broker-Dealer Cybersecurity: Protect Yourself Or Pay The Price
15 Jan 2014 | United States
When Legal Or Compliance Personnel May Be Subject To Failure To Supervise Liability Under The Securities Laws
14 Oct 2013 | United States
FINRA Gives Member Firms a Thumbs Up on Suitability Rule Compliance
03 Oct 2013 | United States
Renewed Focus On An Old Rule: SEC Steps Up Rule 105 Enforcement Efforts
26 Sep 2013 | United States
Brave New World for Data Furnishers
23 Sep 2013 | United States
PCAOB’s Report On Broker-Dealer Audit Deficiencies Points The Way For Bds To Improve Their Financial Reporting And Compliance
03 Sep 2013 | United States
Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning
28 Aug 2013 | United States
How To Be A Good Corporate Citizen CFPB Style
15 Jul 2013 | United States
The STOCK Act And The Political Intelligence Industry: No Easy Answers
09 Jul 2013 | United States
Financial Services Report - Summer 2013
17 Jun 2013 | United States
SEC And CFTC Issue Identity Theft Rules
02 May 2013 | United States
FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers Of The Importance Of The New Requirement To Report Internal Findings Of Violative Conduct
11 Mar 2013 | United States
Financial Services Report - Fall 2012
10 Oct 2012 | United States
Financial Services Report, Summer 2012
26 Jun 2012 | United States
Financial Services Report - Fall 2011
18 Sep 2011 | United States
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Washington, DC
United States

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