On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg. BI”), which not only required the disclosure of interest, but also imposed a standard of conduct on broker-dealers (“BDs”) when making a recommendation to a retail customer of any securities transaction or investment strategy.
Murphy & McGonigle’s leading FinTech & Blockchain Practice is pleased to publish a new edition of “Who’s on the Block,” a roundup of blockchain conferences, speaking appearances, and insights into blockchain technology.
A company’s cybersecurity and data privacy compliance programs are only as good as their weakest links, which often are the company’s third-party vendors.
Joseph Facciponti of Murphy & McGonigle’s White Collar Defense, Investigations & Compliance Counseling Practice will join various industry leaders as a featured speaker at the Program on Corporate Compliance and Enforcement (PCCE) at NYU School of Law’s upcoming conference, “The New Face of AML Enforcement and Compliance.”
Robert Appleton, a globally recognized anti-corruption and Foreign Corrupt Practices Act expert and one of the foremost FCPA and AML practitioners in the world, has joined the financial services law firm Murphy & McGonigle, it was announced today.
In times of market turmoil, it is critical for financial industry counsel and compliance officers to stay abreast of trends and changes at FINRA, including new developments in FINRA arbitration as well as exam and enforcement priorities.
Michelle Bradford, one of the six former Department of Justice federal prosecutors in Murphy & McGonigle’s growing White Collar Defense, Investigations & Compliance Counseling Practice, is featured in The Daily Record’s special magazine supplement, “Leadership in Law 2019.”