Read how a recent federal ruling limits SAR privilege, ratifying VEGA Compliance experts’ testimony.
FINRA filed its long-anticipated (and just plain long), 579-page proposal to consolidate Rules 3270 (Outside Business Activities) and 3280 (Private Securities Transactions) into a single new FINRA Rule 3290, “Outside Activities Requirements.”
Securities, commodities, derivatives, and banking litigation mainly involve complex financial transactions, allegations of misconduct, and regulatory frameworks, which are always tricky to explain to an
In a recent article here by EisnerAmper on hedge fund boards, the firm states that independent, well-structured boards are crucial for hedge fund risk management.
