Topic
Financial Compliance
6 published works
Global Investment Watch
United States: SEC’s Updated Qualified Client Standards Take Effect 29 June 2026
By Eden Kuehler
By: Sasha Burstein, Pablo J. Man, Mark T. Heine, Edward T. Dartley, and George Zornada The United States Securities and Exchange Commission’s (SEC) inflation adjustment to the qualified client thresholds…
Compliance Building
Compliance Books from 2025
I know some people kick off their New Year’s resolutions with a plan to read more books. Here are few of my favorites from 2025. 1929: Inside the Greatest Crash…
Cogneesol Blog
Why a Good Bookkeeper is Your Answer for Legal and Tax Compliance
By Ashish Rana
“Compliance with financial regulations is not an option; it is an imperative that safeguards the interests of all stakeholders and preserves the organization’s credibility.” – Douglas Flint, Former Group Chairman…
IM Insights
OCIE Risk Alert Identifies Common Best Execution Deficiencies
By Kelley Howes, Susan Gault-Brown
On July 11, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert identifying the most common deficiencies that its staff observed in recent examinations of registered investment…
Financial Services Observer
Brett Kitt to Present at the Online Lenders Alliance Compliance University Conference
By Fred E. Karlinsky, Aimee Wildstone
Greenberg Traurig's Brett Kitt, of counsel in the Financial Regulatory & Compliance Group, will present at the Online Lenders Alliance Compliance University Conference in Washington, D.C. from July 28-29. The program will…
Securities Law Prof Blog
Goldman Pays $10 Million and Halts “Huddles”
Massachusetts Securities Division and Goldman Sachs entered a consent order in which Goldman will pay $10 million and stop its practice of "huddles" between research analysts and traders.